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Douglas Benedict Brown

Wells Fargo Securities, LLC

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About Douglas Benedict Brown

Douglas Brown is a financial professional with over 12 years of experience in the industry. Douglas has worked for a variety of financial institutions, including Nomura Securities International, Inc., Knight Capital Americas LLC, and Knight Capital Americas, L.P.. Douglas is currently employed by Wells Fargo Securities, LLC. Douglas holds the Series 7, Series 24, Series 99TO, and SIE licenses. Douglas specializes in providing financial advice to individuals and families.

Firm Information

Douglas Brown is currently registered with Wells Fargo Securities, LLC. Wells Fargo Securities, LLC is a Limited Liability Company formed in March 2003. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

1,325

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Douglas Brown’s Registration & Firm History

NC

12/28/2015 - Present

Wells Fargo Securities, LLC (CHARLOTTE NC)

NY

05/21/2013 - 09/18/2015

NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)

CT

07/02/2012 - 05/02/2013

KNIGHT CAPITAL AMERICAS LLC (GREENWICH CT)

CT

06/09/2011 - 07/02/2012

KNIGHT CAPITAL AMERICAS, L.P. (GREENWICH CT)

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Licenses & Designations

BC

Issued 01/02/2023

Series 14 - Compliance Officer Examination

BC

Issued 03/07/2018

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/08/2011

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

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

Disclosures

There is public disclosure for Douglas Benedict Brown. Review regulatory record here.
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