Stuart D. Brown

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CRD#: 1082825

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Stuart Dale Brown was a registered financial professional .

Stuart is a previously registered financial professional and started their career in finance in 1982. Stuart had worked at 7 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 19, 2007 - December 31, 2025

WARREN CAPITAL GROUP

RIA

CRD#: 137449

WASHINGTON, DC

Past

November 5, 2004 - December 10, 2009

FOXHALL CAPITAL MANAGEMENT, INC.

RIA

CRD#: 104866

ALEXANDRIA, VA

Past

November 5, 2004 - November 18, 2005

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

ALEXANDRIA, VA

Past

January 1, 1994 - November 12, 2004

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

BETHESDA, MD

Past

July 31, 1993 - November 12, 2004

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

April 11, 1988 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

February 24, 1984 - April 11, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

December 21, 1982 - February 3, 1984

RIVIERE SECURITIES CORPORATION

CRD#: 715

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WARREN CAPITAL GROUP

WARREN CAPITAL GROUP | WARREN CAPITAL MANAGEMENT, INC.

CRD#: 137449 / SEC#: 801-121205

RIA

Registered Investment Advisory firm - (5/12/2021 Approved)

District of Columbia

Registered Investment Advisory firm - (5/26/2021 Terminated)

Maryland

Registered Investment Advisory firm - (6/2/2021 Terminated)

South Carolina

Registered Investment Advisory firm - (5/26/2021 Terminated)

Virginia

Registered Investment Advisory firm - (5/26/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/21/1991

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/2/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 2/11/1993

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 12/18/1982

General Securities Representative Examination

Current Firm

WARREN CAPITAL GROUP

WARREN CAPITAL GROUP | WARREN CAPITAL MANAGEMENT, INC.

CRD#: 137449 / SEC#: 801-121205

RIA

Registered Investment Advisory firm - (5/12/2021 Approved)

District of Columbia

Registered Investment Advisory firm - (5/26/2021 Terminated)

Maryland

Registered Investment Advisory firm - (6/2/2021 Terminated)

South Carolina

Registered Investment Advisory firm - (5/26/2021 Terminated)

Virginia

Registered Investment Advisory firm - (5/26/2021 Terminated)

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Contact information

Main Address

677 King Street Floor 3, Charleston, SC 29403

Mailing Address

Phone number

(854) 246-8881

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 WARREN CAPITAL GROUP - FORM ADV PART 2B - ALL ADVISORS - MARCH 7 2025 (3/18/2025)

WARREN CAPITAL ADV PART 2 BROCHURE 2025 (3/18/2025)

Regulatory assets under management

Total Number of Accounts	337
AUM (Assets Under Management)	$ 124,804,877

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/27/2023	Cover Page	Report
01/26/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Stuart D. Brown

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WARREN CAPITAL GROUP

FOXHALL CAPITAL MANAGEMENT, INC.

PURSHE KAPLAN STERLING INVESTMENTS

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

RIVIERE SECURITIES CORPORATION

Primary Firm SEC Registration

WARREN CAPITAL GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 10/21/1991

Series 63

Date: 2/2/1983

Series 3

Date: 2/11/1993

Series 7

Date: 12/18/1982

Current Firm

WARREN CAPITAL GROUP

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

WARREN CAPITAL GROUP

TRUST BUT VERIFY

Contact information

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