Featured Business Financial Advisor in Latham, NY
Latham Financial Advisors
Brown Financial Management Group LLC
950 New Loudon Rd, Suite 105
Latham, NY 12110
(518) 464-9974
Advisor Profile
Thomas Brown
Name:  Thomas Brown
Phone Number:  (518) 464-9974
Website:  Visit Website
Disclosure Link:
www.thomasjbrown.com
ADV Form II Link:
Available on our website: w...

Disclaimer
*Registered Representative, Securities offered through Cambridge Investment Research, Inc., a Broker/Dealer; Member FINRA/SIPC. Investment Advisor Representative, Thomas J. Brown, Brown Financial Management Group, LLC a Registered Investment Advisor. Cambridge Investment Research, Inc. and Brown Financial Management Group, LLC are not affiliated.

About Brown Financial Management Group LLC

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General Information

Gender:    Male
CRD#:    1614783
Firm CRD#:    282501
Insurance License#:    LA-673474
Name of Broker/Dealer:    Cambridge Investment Research, Inc.
Name of Custodial Firm:    National Financial Services, LLC
States Licensed in:    CT, FL, IL, MA, MD, ME, NC, NH, NJ, NY, PA, SC,
TX, VA.
States Willing to do Business in:    various
Years of Experience in Financial Services:    31
Number of Years with Current Firm:    9
Work Experience:    The founder of our firm, Thomas J. Brown, CFP, is a CERTIFIED FINANCIAL PLANNER TM with over 30 years of financial experience. He received his certification in November 1992 and has also established his own Registered Investment Advisor (RIA) Firm.
I work with the following types of clients:    Trusts and Estates, Businesses, Individual Investors
 

Education

Academic Background
 
Cornell University, 5/81 B.S. Bus. Mgmt & Finance
College for Financial Planning, 11/92 CERTIFIED FINANCIAL PLANNER,Practitioner
 

Services

Investment Types:    Annuities, Stocks, Mutual Funds, Bonds, Insurance, Socially Responsible Investments (SRI)
I can meet clients in the following ways:    At my office, At your home, At your office
 

Qualifications & Memberships

Certifications, Accreditations & Designations:    CERTIFIED FINANCIAL PLANNER™ Certificant
Securities Licenses:    Series 63, Series 7, Series 6
Insurance and Annuity Licenses:    Variable Life, Variable Annuity, Long Term Care, Life, Health, Disability, Annuity
Financial Organization Memberships:    Financial Planning Association (FPA), Financial Services Institute
 

Firm Information

Firm's Number of Clients:    125
Firm's Number of Planning Clients:    106
Firm's Number of Managed Clients:    106
Assets Managed by Firm:    $37,338,868
Advisor's Number of Clients:    125
Advisor's Number of Managed Clients:    106
Advisor's Number of Planning Clients:    106
Assets Managed by Advisor:    $37,338,868
 

Compliance

Registered Investment Advisor:    Yes
Registered Representative:    Yes
Compliance Disclosures in Last 5 years:    I have a clean record
Criminal Disclosures in Last 5 years:    I have a clean record
 

Compensation and Fees

Fee Structure:    I am a fee-based financial professional
Minimum Portfolio Size for New Managed Accounts:    $1
Compensation Methods:    Hourly, Based on Assets
Fee % Based on Assets:    varies
Hourly Rate:    $195
Flat Fee Rate:    varies
Minimum Fee Charged for Managed Accounts:    $0
Minimum Fee Charged for Hourly Planning Accounts:    $0
Minimum Fee Charged for Flat Fee Accounts:    $0
 
 
 
Prepared By: Thomas Brown

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