Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid A Brown is a financial advisor with Ernst & Young Capital Advisors, LLC. David has been in the industry since April 21, 2001, and has a wide range of experience. David is registered with FINRA and has a Series 7, Series 63, Series 79TO, and SIE license. David is registered in 18 states, including California, Colorado, Florida, Georgia, Illinois, Maryland, Massachusetts, New Jersey, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Texas, Utah, Virginia, and Washington.
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.
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.
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2
NY
04/27/2015 - Present
Ernst & Young Capital Advisors, LLC (New York NY)
NY
04/30/2013 - 04/21/2015
OPPENHEIMER & CO. INC. (NEW YORK NY)
NY
09/22/2008 - 02/26/2013
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
02/14/2001 - 09/22/2008
LEHMAN BROTHERS INC. (NEW YORK NY)
BC
Issued 08/18/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/13/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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