Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Michael Brown is a financial advisor at Raymond James & Associates, Inc. David has over 20 years of experience in the financial services industry. David is registered with FINRA, and holds the Series 7, Series 63, and Series 99TO licenses. David is also registered to offer securities in New Jersey and New York. David has previously worked at MOELIS & COMPANY LLC, GREENHILL & CO., LLC, and LEHMAN BROTHERS INC. David has been with Raymond James & Associates, Inc. since November of 2022.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NY
11/08/2022 - Present
Raymond James & Associates, Inc. (NEW YORK NY)
NY
07/07/2014 - 07/25/2022
MOELIS & COMPANY LLC (NEW YORK NY)
NY
06/10/2008 - 06/18/2014
GREENHILL & CO., LLC (NEW YORK NY)
NY
05/24/2007 - 06/25/2008
LEHMAN BROTHERS INC. (NEW YORK NY)
NJ
03/06/2003 - 05/04/2007
NYLIFE DISTRIBUTORS LLC (JERSEY CITY NJ)
BC
Issued 04/23/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional 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 03/04/2003
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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