JB
James R. Brown
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CRD#: 1478139
JB
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.
James Richard Brown was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1986. James had worked at 6 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55, Series 3, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
1. NAME: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION BUSINESS: FIXED INSURANCE START: 6/1987 POSITION: AGENT HOURS: MINIMAL HOURS DURING TRADING: MINIMAL DUTIES: SALES OF PROPERTY AND CASUALTY INSURANCE; 2. NAME: CITY OF GOLDTHWAITE INVESTMENT RELATED: NO ADDRESS: 1218 FISHER ST., GOLDTHWAITE, TX 76844 BUSINESS: BOARD FIDUCIARY POSITION START: 6/2019 POSITION: CITY COUNCIL MEMBER HOURS: .25 HOURS DURING TRADING: MINIMAL DUTIES: I AM AN ELECTED CITY COUNCIL MEMBER. I AM ONE OF 5 BOARD MEMBERS ALONG WITH AN ELECTED MAYOR. WE HIRE AND WORK WITH OUR CITY MANAGER. WE MEET MONTHLY AFTER WORK TO DISCUSS AND DECIDE CITY BUSINESS. I AM NOT ON ANY CHECKING OR BROKERAGE ACCOUNT FOR THE CITY; 3. NAME: REGENCY FEEDERS PARTNERSHIP INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION BUSINESS: CATTLE FEEDING START: 1/1987 POSITION: PARTNER HOURS: 2 HOURS DURING TRADING: 0 DUTIES: PARTNER OF FAMILY OWNED CATTLE FEEDING PARTNERSHIP WITH MY DAD, RICHARD BROWN. DETERMINE STOCKING RATES, FEED CATTLE, WORK WITH TAX ACCOUNTANT AND LENDING BANKS; 4. NAME: REGENCY STAR CATTLE CO. LLC INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION BUSINESS: COMMERCIAL STOCKER/FEEDER OPERATION START: 9/2021 POSITION: OWNER/PARTNER HOURS: MINIMAL HOURS DURING TRADING: 0 DUTIES: RUN THE OPERATING UNIT OF ALL OUR FAMILY RANCHES AND ALL THAT ENTAILS: BUYING AND SELLING LIVESTOCK, DETERMINE STOCKING RATES, PROVIDING RECORDS TO CPA AND LENDING BANK; 5. NAME: RICHARD BROWN CATTLE-STAR CATTLE INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED ADDRESS BUSINESS: STOCKER/FEEDER FAMILY CATTLE OPERATION START: 1/1999 POSITION: INDEPENDENT CONTRACTOR HOURS: 20 HOURS DURING TRADING: 5 DUTIES: FEED AND CARE FOR FEEDER CATTLE. MARKET THEM AND WORK WITH THE ACCOUNTANT AND BANK. STAR CATTLE IS OWNED BY MY FATHER, RICHARD BROWN; 6. NAME: JENNIE TRENT DEW LIBRARY FOUNDATION BOARD INVESTMENT RELATED: NO ADDRESS: 1113 FISHER ST., GOLDTHWAITE, TX 76844 BUSINESS: SUPPORT OF LIBRARY. THE FOUNDATION EXISTS TO PROVIDE EXTERNAL FUNDING TO LIBRARY FOR EMERGENCIES AND TO BE ABLE TO ACCEPT TAX-FREE DONATIONS. START: 1/2015 POSITION: BOARD MEMBER HOURS: MINIMAL HOURS DURING TRADING: MINIMAL DUTIES: ASSIST TOWN'S PUBLIC LIBRARY; 7. NAME: BROWN & WESSON INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED ADDRESS BUSINESS: SECURITIES BUSINESS DATE: 2/2006 POSITION: OWNER HOURS: 40 HOURS DURING TRADING: 30 DUTIES: FULL-SERVICE STOCK BROKERAGE FIRM; 8. NAME: 3C FINANCIAL SERVICE, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED ADDRESS, BUSINESS: SECURITIES BUSINESS, DATE: 12/2021, POSITION: FINANCIAL PROFESSIONAL, HOURS: 25, DURING TRADING HOURS, DUTIES: DBA FOR FINANICAL SERVICES;
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®
NoneExperience
Past
December 21, 2021 - September 20, 2022
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
GOLDTHWAITE, TX
Past
December 21, 2021 - September 20, 2022
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
GOLDTHWAITE, TX
Past
December 3, 2007 - December 17, 2021
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
GOLDTHWAITE, TX
Past
November 30, 2007 - December 17, 2021
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
GOLDTHWAITE, TX
Past
March 8, 2006 - November 29, 2007
INVESTMENT PROFESSIONALS, INC.
RIA
CRD#: 30184
GOLDTHWAITE, TX
Past
February 14, 2006 - November 29, 2007
INVESTMENT PROFESSIONALS, INC.
BD
CRD#: 30184
GOLDTHWAITE, TX
Past
January 27, 2000 - February 14, 2006
HODGES CAPITAL MANAGEMENT INC
RIA
CRD#: 110080
DALLAS, TX
Past
April 18, 1990 - February 14, 2006
FIRST DALLAS SECURITIES INCORPORATED
BD
CRD#: 24549
GOLDTHWAITE, TX
Past
March 27, 1990 - April 18, 1990
FIRST DALLAS SECURITIES INCORPORATED
BD
CRD#: 24549
Past
March 20, 1986 - March 28, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 5/14/1999
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
CW
CETERA WEALTH SERVICES, LLC
CETERA ADVISOR NETWORKS LLC | GORDON SIMMERS SECURITY CORPORATION | FIRST ASSET MANAGEMENT CORPORATION | FINANCIAL NETWORK INVESTMENT CORPORATION | CETERA WEALTH SERVICES, LLC | CETERA NETWORKS
CRD#: 13572 / SEC#: 801-47342, 8-29577
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
2301 Rosecrans Ave #5100 Suite 5100, El Segundo, CA 90245-5672
Mailing Address
Po Box 983, Saint Cloud, MN 56302
Phone number
(800) 879-8100
Established
Delaware since 12/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,881
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 2 |
| Arbitration | 15 |
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.
