Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Courtenay? Claim Your ProfileCourtenay Brown is a registered representative with Bofa Securities, Inc. Courtenay has been working in the financial services industry since 2001. Previously Courtenay worked with Mizuho Securities USA LLC, Barclay Investments LLC, HSBC Securities (USA) Inc., Franklin/Templeton Distributors, Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Courtenay holds FINRA Series 7, 9, 10, and 63 licenses. Courtenay is registered in 53 states.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Research-related services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Negotiated fees for research-related services
1
2
CA
01/25/2022 - Present
Bofa Securities, Inc. (SAN FRANCISCO CA)
CA
09/01/2020 - 01/18/2022
MIZUHO SECURITIES USA LLC (SAN FRANCISCO CA)
CA
08/07/2017 - 11/01/2018
BARCLAY INVESTMENTS LLC (SAN FRANCISCO CA)
CA
07/12/2017 - 08/04/2017
HSBC SECURITIES (USA) INC. (SAN FRANCISCO CA)
CA
08/06/2004 - 07/12/2017
HSBC SECURITIES (USA) INC. (SAN FRANCISCO CA)
CA
05/17/2002 - 07/06/2004
FRANKLIN/TEMPLETON DISTRIBUTORS, INC. (SAN MATEO CA)
NY
07/07/1997 - 08/16/2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 02/13/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/02/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/12/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/03/1997
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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