John A. Brown

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CRD#: 1260275

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.

John Arthur Brown was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1984. John had worked at 7 firms and has passed the Series 63, Series 7, Series 22 and Series 6 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

May 5, 2011 - January 11, 2013

BROWN FINANCIAL ADVISORY

RIA

CRD#: 155548

FAIRHOPE, AL

Past

December 1, 2006 - April 29, 2011

BROWN FINANCIAL ADVISORY INC

RIA

CRD#: 109689

FAIRHOPE, AL

Past

November 19, 1989 - December 31, 1993

OSAIC WEALTH, INC.

CRD#: 23131

Past

April 16, 1986 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

June 13, 1984 - August 23, 1984

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

June 13, 1984 - April 21, 1986

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

June 13, 1984 - April 22, 1986

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Past

June 13, 1984 - April 22, 1986

IDS LIFE INSURANCE COMPANY

CRD#: 6321

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".

BROWN FINANCIAL ADVISORY

BROWN FINANCIAL ADVISORY | BROWN MCLEOD, INC

CRD#: 155548 / SEC#: 801-79151

RIA

Registered Investment Advisory firm - (2/4/2014 Approved)

Alabama

Registered Investment Advisory firm - (4/16/2014 Terminated)

Florida

Registered Investment Advisory firm - (3/7/2014 Terminated)

Louisiana

Registered Investment Advisory firm - (3/19/2014 Terminated)

Texas

Registered Investment Advisory firm - (3/7/2014 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

Series 63

Date: 6/12/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/15/1986

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 11/14/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 6/12/1984

Investment Company Products/Variable Contracts Representative Examination

Current Firm

BROWN FINANCIAL ADVISORY

BROWN FINANCIAL ADVISORY | BROWN MCLEOD, INC

CRD#: 155548 / SEC#: 801-79151

RIA

Registered Investment Advisory firm - (2/4/2014 Approved)

Alabama

Registered Investment Advisory firm - (4/16/2014 Terminated)

Florida

Registered Investment Advisory firm - (3/7/2014 Terminated)

Louisiana

Registered Investment Advisory firm - (3/19/2014 Terminated)

Texas

Registered Investment Advisory firm - (3/7/2014 Terminated)

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Contact information

Main Address

54 S. Greeno Road, Fairhope, AL 36532

Mailing Address

Phone number

(251) 928-9498

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025.03.25 FORM ADV PART 2A (3/25/2025)

Regulatory assets under management

Total Number of Accounts	745
AUM (Assets Under Management)	$ 344,026,037

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.

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Advisor Monitoring

Firm Stability Insights

John A. Brown

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BROWN FINANCIAL ADVISORY INC

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

AMERICAN EXPRESS FINANCIAL CORPORATION

AMERICAN EXPRESS FINANCIAL CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

Primary Firm SEC Registration

BROWN FINANCIAL ADVISORY

State Registrations and Notice Filings

Exams

Series 63

Date: 6/12/1984

Series 7

Date: 3/15/1986

Series 22

Date: 11/14/1984

Series 6

Date: 6/12/1984

Current Firm

BROWN FINANCIAL ADVISORY

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BROWN FINANCIAL ADVISORY

TRUST BUT VERIFY

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