James B. Brown
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 Burke Brown, ChFC®, CLU®, who also goes by Jimmy Brown, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1987. James had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 3, 2019 - March 2, 2021
SORRENTO PACIFIC FINANCIAL, LLC
September 3, 2019 - March 2, 2021
CUSO FINANCIAL SERVICES, L.P.
September 3, 2019 - July 7, 2025
CADARET, GRANT & CO., INC.
September 3, 2019 - July 7, 2025
SORRENTO PACIFIC FINANCIAL, LLC
September 3, 2019 - July 7, 2025
CUSO FINANCIAL SERVICES, L.P.
September 3, 2019 - July 7, 2025
CADARET, GRANT & CO., INC.
November 30, 2018 - July 7, 2025
NEXT FINANCIAL GROUP, INC.
November 30, 2018 - July 7, 2025
NEXT FINANCIAL GROUP, INC.
November 3, 2008 - December 6, 2016
OSAIC SERVICES, INC.
October 16, 2008 - December 6, 2016
OSAIC SERVICES, INC.
March 6, 2007 - October 29, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
May 17, 2002 - October 29, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
March 15, 2001 - December 3, 2001
MANULIFE WOOD LOGAN, INC.
March 22, 1999 - February 26, 2001
FIDELITY DISTRIBUTORS COMPANY LLC
December 16, 1987 - March 16, 1999
THE ADVISORS GROUP, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SORRENTO PACIFIC FINANCIAL, LLC
CRD#: 127787 / SEC#: 801-70354, 8-66046
Contact information
FINRA licenses (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 924 |
| AUM (Assets Under Management) | $ 222,328,734 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/27/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
