TB
Thomas R. Brown
MDT ADVISERS, A DIVISION OF FEDERATED MDTA LLC
Reno, NV
Some features on this profile are disabled
CRD#: 1575344
TB
Professional summary
Thomas Robert Brown, who also goes by Thomas R Brown, Tom Brown, is a registered financial advisor currently at MDT ADVISERS, A DIVISION OF FEDERATED MDTA LLC located in Reno, Nevada and FEDERATED GLOBAL INVESTMENT MANAGEMENT CORP. located in Reno, Nevada.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Thomas has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas R Brown | Tom 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.
From Dec 2014 to present, Managing Member of JD Hobbs Enterprises LLC, 58 Miramonte Dr, Moraga, CA 94556. Duties are not performed during trading hours and are not investment related. Time spent is approximately 8 hours a month.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Robert 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®
NoneExperience
Current
September 21, 2015 - Present
MDT ADVISERS, A DIVISION OF FEDERATED MDTA LLC
RIA
CRD#: 109355
Reno, NV
Current
September 21, 2015 - Present
FEDERATED GLOBAL INVESTMENT MANAGEMENT CORP.
RIA
CRD#: 106277
Reno, NV
Current
September 21, 2015 - Present
FEDERATED INVESTMENT COUNSELING
RIA
CRD#: 105325
Reno, NV
Current
September 21, 2015 - Present
FEDERATED SECURITIES CORP.
RIA
BD
CRD#: 5009
Reno, NV
Current
September 9, 2015 - Present
FEDERATED SECURITIES CORP.
Office #1: 1001 Liberty Avenue, Pittsburgh, PA 15222-3779RIA
BD
CRD#: 5009
Pittsburgh, PA
Past
July 2, 2007 - July 17, 2014
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
SAN FRANCISCO, CA
Past
May 7, 2007 - July 2, 2007
MELLON FUNDS DISTRIBUTOR, L.P.
BD
CRD#: 39414
PITTSBURGH, PA
Past
March 16, 2005 - August 2, 2006
LANCASTER POLLARD & CO., LLC
BD
CRD#: 24110
COLUMBUS, OH
Past
April 4, 1996 - May 12, 1997
T. ROWE PRICE INVESTMENT SERVICES, INC.
BD
CRD#: 8348
BALTIMORE, MD
Past
November 12, 1986 - December 31, 1989
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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".
FI
FEDERATED INVESTMENT COUNSELING
FEDERATED HERMES CW HENDERSON DIVISION | FEDERATED INVESTMENT COUNSELING (INCLUDING ITS FEDERATED HERMES CW HENDERSON DIVISION) | FEDERATED INVESTMENT COUNSELING | FEDERATED HERMES CW HENDERSON, A DIVISION OF FEDERATED INVESTMENT COUNSELING
CRD#: 105325 / SEC#: 801-34611
RIA
Registered Investment Advisory firm - (6/12/1989 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/9/2015)
RR
Alaska(9/9/2015)
RR
Arizona(9/9/2015)
RR
Arkansas(9/9/2015)
RR
California(9/9/2015)
RR
Colorado(9/9/2015)
RR
Connecticut(9/9/2015)
RR
Delaware(9/9/2015)
RR
District of Columbia(9/9/2015)
RR
Florida(9/9/2015)
RR
Georgia(9/9/2015)
RR
Hawaii(9/9/2015)
RR
Idaho(9/9/2015)
RR
Illinois(9/9/2015)
IAR
Illinois(10/12/2022)
RR
Indiana(9/9/2015)
RR
Iowa(9/9/2015)
RR
Kansas(9/9/2015)
RR
Kentucky(9/9/2015)
RR
Louisiana(9/9/2015)
RR
Maine(9/9/2015)
RR
Maryland(9/9/2015)
RR
Massachusetts(9/9/2015)
IAR
Massachusetts(9/28/2015)
RR
Michigan(9/9/2015)
RR
Minnesota(9/9/2015)
RR
Mississippi(9/9/2015)
RR
Missouri(9/9/2015)
RR
Montana(9/9/2015)
RR
Nebraska(9/9/2015)
RR
Nevada(9/9/2015)
RR
New Hampshire(9/9/2015)
RR
New Jersey(9/9/2015)
RR
New Mexico(9/9/2015)
RR
New York(9/9/2015)
IAR
New York(8/5/2021)
RR
North Carolina(9/11/2015)
RR
North Dakota(9/9/2015)
RR
Ohio(9/9/2015)
RR
Oklahoma(9/9/2015)
RR
Oregon(9/9/2015)
RR
Pennsylvania(9/9/2015)
IAR
Pennsylvania(9/21/2015)
RR
Puerto Rico(9/9/2015)
IAR
Puerto Rico(9/21/2015)
RR
Rhode Island(9/9/2015)
RR
South Carolina(9/9/2015)
RR
South Dakota(9/9/2015)
RR
Tennessee(9/9/2015)
RR
Texas(9/9/2015)
IAR
Texas(9/21/2015)
RR
Utah(9/9/2015)
RR
Vermont(9/9/2015)
RR
Virginia(9/9/2015)
RR
Washington(9/9/2015)
RR
West Virginia(9/9/2015)
RR
Wisconsin(9/9/2015)
RR
Wyoming(9/9/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FI
FEDERATED INVESTMENT COUNSELING
FEDERATED HERMES CW HENDERSON DIVISION | FEDERATED INVESTMENT COUNSELING (INCLUDING ITS FEDERATED HERMES CW HENDERSON DIVISION) | FEDERATED INVESTMENT COUNSELING | FEDERATED HERMES CW HENDERSON, A DIVISION OF FEDERATED INVESTMENT COUNSELING
CRD#: 105325 / SEC#: 801-34611
RIA
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Contact information
Main Address
1001 Liberty Avenue, Pittsburgh, PA 15222-3779
Mailing Address
Phone number
(412) 288-1900
Established
Firm type
Fiscal year end
# of Employees
213
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,579 |
| AUM (Assets Under Management) | $ 199,641,239,415 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/11/2023 | ||
| 07/29/2022 |
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.
