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James Richard Brown

CRD# 1478139·Registered 1986 - 2022
Previously Registered: Being a previously registered professional could mean that James 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.

Professional Summary

James Richard Brown was a registered financial advisor. James was a previously registered financial professional and started their career in finance 1986 - 2022. 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.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

40 years in the financial services industry

Current & Past Employments

CETERA WEALTH SERVICES, LLC·CRD# 13572
RIA
Goldthwaite, TX
December 21, 2021 - September 20, 2022
CETERA WEALTH SERVICES, LLC·CRD# 13572
BD
Goldthwaite, TX
December 21, 2021 - September 20, 2022
NEXT FINANCIAL GROUP, INC.·CRD# 46214
RIA
Goldthwaite, TX
December 3, 2007 - December 17, 2021
NEXT FINANCIAL GROUP, INC.·CRD# 46214
BD
Goldthwaite, TX
November 30, 2007 - December 17, 2021
INVESTMENT PROFESSIONALS, INC.·CRD# 30184
RIA
Goldthwaite, TX
March 8, 2006 - November 29, 2007
INVESTMENT PROFESSIONALS, INC.·CRD# 30184
BD
Goldthwaite, TX
February 14, 2006 - November 29, 2007
HODGES CAPITAL MANAGEMENT INC·CRD# 110080
RIA
Dallas, TX
January 27, 2000 - February 14, 2006
FIRST DALLAS SECURITIES INCORPORATED·CRD# 24549
BD
Goldthwaite, TX
April 18, 1990 - February 14, 2006
FIRST DALLAS SECURITIES INCORPORATED·CRD# 24549
BD
March 27, 1990 - April 18, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
New York, NY
March 20, 1986 - March 28, 1990

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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)

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)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

CETERA ADVISOR NETWORKS LLC - ADV PART 2A AND APPENDIX 1 (6/1/2023)

Direct owners and executive officers

NamePositionCRD#
CETERA FINANCIAL GROUP, INC.SOLE MEMBER—
ARNOLD, SUMMER SELTZERVICE PRESIDENT2954103
BUCHHEISTER, JEFFREY ROBERTCHIEF FINANCIAL OFFICER4709900
BUDEVICH, SERGEVICE PRESIDENT AND TAX OFFICER7996345
BURKOTT, DANIEL PAULBROKER DEALER CO-CHIEF COMPLIANCE OFFICER4710068
COAXUM, KOFI SULEVICE PRESIDENT5150018
DOWELL, RODNEY CAMMERONPRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT7376607
GOK, LISA ANNESECRETARY5059738
HALLORAN, THOMAS WILLIAMVICE PRESIDENT1921834
HOLWEGER, KIMBERLEYCHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER1572778
LEE, WINNIE AI-LINGASSISTANT SECRETARY7381661
MACKAY, TODD CHRISTOPHERCHIEF EXECUTIVE OFFICER2799860
MCCALLOP, PATRICIA RUTHERFORDBROKER DEALER CO-CHIEF COMPLIANCE OFFICER5059176
MIZUGUCHI, MAURACHIEF ACCOUNTING OFFICER AND TREASURER5769181
MOLNAR, MICHAEL JAMESVICE PRESIDENT4866129
NEARY, JOSEPH DANIELMANAGER AND VICE PRESIDENT2993505
NILAND, ERIK BRADLEYVICE PRESIDENT2796476
OBRIEN, EDWARD DMANAGER2239064
PATTERSON, GERALDVICE PRESIDENT4302538
RAMOS, RAMONMONEY LAUNDERING REPORTING OFFICER2160203
SMILEY, STANLEY ROBERTVICE PRESIDENT3004604
STINSON, TIMOTHY EARL MCCOYPRESIDENT AND MANAGER2272183
STONE, TIMOTHY PATRICKVICE PRESIDENT3038963
VAN HAVERMAAT, DAVID JAMESASSISTANT SECRETARY7042846
WATTS, ANDREW DAVIDVICE PRESIDENT4780880
WENIG, HARLAN DAVIDVICE PRESIDENT4690768

Regulatory Assets Under Management

Total Number of Accounts

192,956

AUM (Assets Under Management)

$46,651,447,975

Disclosures

Regulatory Event

20

Civil Event

2

Arbitration

15

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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;

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Oct 1999About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 1986About the Series 63 exam

Series 57TO — Securities Trader Exam

Passed Jan 2023About the Series 57TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 55 — Limited Representative-Equity Trader Exam

Passed May 1999

Series 3 — National Commodity Futures Examination

Passed Oct 1988About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Mar 1986About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Nov 1994About the Series 24 exam

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CRS (Client Relationship Summary)

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

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