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DAVID JAMES BROWN
CRD#: 5650810
IA
B
WELLS FARGO ADVISORSCRD#: 11025 123 CENTER PARK DR
STE 204
KNOXVILLE, TN 37922
STE 204
KNOXVILLE, TN 37922
0
Disclosures
15
Years of Experience
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State Registrations
B
California 9/28/2018
B
North Carolina 9/28/2018
B
Florida 9/28/2018
B
South Carolina 3/11/2025
B
Georgia 9/28/2018
B
Tennessee 9/28/2018
B
Missouri 7/7/2020
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Tennessee 10/2/2018
B
Montana 7/2/2024
SRO Registrations
B
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Registered with this firm since 10/2/2018
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Registered with this firm since 9/28/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/13/2016 - 10/02/2018 | KNOXVILLE, TN | |
B | 05/29/2012 - 10/02/2018 | KNOXVILLE, TN | |
IA | 05/29/2012 - 12/31/2016 | KNOXVILLE, TN | |
IA | 05/27/2009 - 04/03/2012 | KNOXVILLE, TN | |
B | 05/06/2009 - 04/03/2012 | KNOXVILLE, TN |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.