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Stephen Ford Brown

Pershing LLC

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About Stephen Ford Brown

Stephen Ford Brown is a financial advisor who has been in the financial industry since December 24, 2003. Stephen is currently registered with Pershing LLC in Jersey City, NJ. Stephen has passed the Series 7, 24, 52TO, 63, 99TO, and SIE exams. Stephen has also worked for SEI Investments Distribution Co. and Vanguard Marketing Corporation. Stephen has been registered with FINRA for at least 1 year.

Firm Information

Stephen Brown is currently registered with Pershing LLC. Pershing LLC is a Limited Liability Company formed in January 2003. The firm is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. They have one approved SEC registration and 53 approved state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

692

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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Stephen Brown’s Registration & Firm History

NJ

04/01/2011 - Present

Pershing LLC (JERSEY CITY NJ)

PA

05/21/1999 - 03/22/2001

SEI INVESTMENTS DISTRIBUTION CO. (OAKS PA)

NA

08/10/1995 - 03/26/1999

VANGUARD MARKETING CORPORATION

PA

10/22/1993 - 03/26/1999

VANGUARD MARKETING CORPORATION (MALVERN PA)

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Licenses & Designations

BC

Issued 12/29/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/23/2011

Series 24 - General Securities Principal Examination

BC

Issued 08/01/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/31/2011

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe C2 Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

MIAX Sapphire

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 are no public disclosures for Stephen Ford Brown.
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