Stephen A. Brown
KING GEORGE CAPITAL MGMT
KING GEORGE, VA 22485
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CRD#: 1067977
Professional summary
Stephen Arthur Brown, CFP®, who also goes by Steve Brown, is a registered financial advisor currently at KING GEORGE CAPITAL MGMT, INC. located in King George, Virginia.
Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Stephen has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 28, Series 51 and Series 24 exams.
Question & Answer
What are your service offerings?
Retirement Planning
Investment Planning
Insurance Planning
Are you a "fiduciary"?
Yes
Aliases
Steve Brown
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) Name of Business: RIA-KING GEORGE CAPITAL MANAGEMENT, INC.
Investment-related: Yes
Address: 12407 RIDGE ROAD KING GEORGE, VA
Nature of the other business: Registered Investment Advisory Firm
Position, title, or relationship with the other business: PRESIDENT
Start date: ONGOING SINCE 02/19/1996
Approximate number of hours/month you devote to the other business: 40
Approximate number of hours/month you devote to the other business during securities trading hours:40
Describe your duties relating to the other business: MANAGE CLIENT PORTFOLIOS
2) Name of Business: ASHLAND LAND DEVELOPMENT CO. INC.
Investment-related: Yes
Address: 12407 RIDGE ROAD KING GEORGE, VA 22485.
Nature of the other business: FAMILY OWNED PROPERTY ADJACENT TO RESIDENCE
Position, title, or relationship with the other business: Owner
Start date: ONGOING SINCE DECEMBER 2007
Approximate # of hours/month you devote to the other business: 40
Approximate # of hours/month you devote to the other business during securities trading hours: 5
Describe your duties relating to the other business: DEVELOPING PROPERTY AS A SUBDIVISION. SELLING LOTS TO HOME BUILDERS
3) Name of Business: STEPHEN A. BROWN, CFP Insurance Sales
Investment-related: Yes
Address: 12407 RIDGE ROAD KING GEORGE, VA 22485
Nature of the other business: SALES OF NON-SECURITIES RELATED INSURANCE PRODUCTS SUCH AS FIXED ANNUITIES, LONG-TERM CARE INSURANCE
Position, title, or relationship with the other business: Agent
Start date: ONGOING ACTIVITY SINCE 1982
Approximate number of hours/month you devote to the other business: 1
Approximate # of hours/month you devote to the other business during securities trading hours: 1
Describe your duties relating to the other business: MARKET AND SELL INSURANCE CONTRACTS
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Arthur Brown's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1987
Experience
Current
June 27, 1997 - Present
KING GEORGE CAPITAL MGMT, INC.
Office #1: 12407 Ridge Road, King George, VA 22485RIA
CRD#: 115430
KING GEORGE, VA
Past
October 15, 2014 - December 31, 2020
CAPITOL SECURITIES MANAGEMENT, INC.
BD
CRD#: 14169
King George, VA
Past
August 12, 1997 - October 13, 2014
KINGSBRIDGE CAPITAL CORP.
BD
CRD#: 42916
KING GEORGE, VA
Past
May 28, 1993 - August 22, 1997
PMG SECURITIES CORPORATION
BD
CRD#: 27107
ELGIN, IL
Past
August 2, 1989 - June 7, 1993
INVESTACORP, INC.
BD
CRD#: 7684
MIAMI, FL
Past
March 23, 1988 - August 17, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
October 20, 1982 - April 6, 1988
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Virginia(6/27/1997)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 28
Date: 3/29/2004
Introducing Broker/Dealer Financial Operations Principal ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
KG
KING GEORGE CAPITAL MGMT, INC.
KING GEORGE CAPITAL MGMT, INC.
CRD#: 115430 / SEC#:
Virginia
Registered Investment Advisory firm - (1/22/1997 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
King George, VA
Mailing Address
Phone number
(540) 775-3254
Established
Firm type
Fiscal year end
# of Employees
2
Regulatory assets under management
| Total Number of Accounts | 56 |
| AUM (Assets Under Management) | $ 31,000,000 |
Red Flags
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