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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark David Brown is a financial advisor registered with Morgan Stanley, with over 40 years of experience in the financial services industry. Mark has a wide range of licenses and certifications including Series 3, 7, 9, 10, 15, 63, and 65. Mark is currently registered in 31 states and 2 Canadian provinces, in addition to his registrations with the Financial Industry Regulatory Authority (FINRA). Prior to joining Morgan Stanley, Mark was a registered representative for Wachovia Securities, LLC, Prudential Securities Incorporated, and Legg Mason Wood Walker, Incorporated. Mark specializes in portfolio management for individuals, businesses, and investment companies.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
MA
04/23/2020 - Present
Morgan Stanley (Springfield MA)
MA
04/13/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (SPRINGFIELD MA)
MA
07/01/2003 - 04/16/2007
WACHOVIA SECURITIES, LLC (SPRINGFIELD MA)
NY
04/13/1981 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
MD
09/11/1992 - 09/23/1992
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
IA
Issued 11/17/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/03/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/25/1991
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/09/1994
Series 5 - Interest Rate Options Examination
BC
Issued 12/02/1994
Series 15 - Foreign Currency Options Examination
BC
Issued 12/28/1993
Series 3 - National Commodity Futures Examination
BC
Issued 04/11/1981
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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