James B. Brown
Professional summary
James Burke Brown, ChFC®, CLU®, who also goes by James Brown, Jimmy Brown, James Burke Brown, is a registered financial advisor currently at VALIC FINANCIAL ADVISORS, INC. located in Linthicum Heights, Maryland.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. James has worked at 10 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) - RIA
Click below to view James Burke Brown's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Burke Brown's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 6, 2026 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 1201 Winterson Road Suite 130, Linthicum Heights, MD 21090January 20, 2026 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 1201 Winterson Road Suite 130, Linthicum Heights, MD 21090September 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.
Primary Firm SEC Registration
VALIC FINANCIAL ADVISORS, INC.
CRD#: 42803 / SEC#: 801-54952, 8-50018
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/1/2026)
(4/1/2026)
(4/1/2026)
(4/22/2026)
(1/20/2026)
(3/6/2026)
(4/1/2026)
(4/1/2026)
Exams
FINRA
Current Firm
VALIC FINANCIAL ADVISORS, INC.
CRD#: 42803 / SEC#: 801-54952, 8-50018
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VARIABLE ANNUITY LIFE INSURANCE COMPANY | DIRECT OWNER | |
| BURNETTE, CYNTHIA LEA | CHIEF FINANCIAL OFFICER AND TREASURER | 1863103 |
| FORTEY, MICHAEL | VFA CHIEF COMPLIANCE OFFICER BROKER DEALER | 2304969 |
| GIBSON, KRISTA DE LOIS | PRESIDENT; SVP, HEAD OF PRODUCT & ADVISORY SERVICES | 2348708 |
| JOE, CHRISTOPHER CHUCK | VFA CHIEF COMPLIANCE OFFICER INVESTMENT ADVISOR | 2373056 |
| LOGAN, JOHN ALBERT | CHIEF OPERATIONS OFFICER | 4378887 |
| MARCIEL-CARR, THERESA H | VICE PRESIDENT, FIELD SUPERVISION | 5428259 |
| NORRIS, JOHN ERIK | SECRETARY | 8188573 |
| RINK, VERONICA LYNETTE | VICE PRESIDENT, BUSINESS ADMINISTRATION | 4724432 |
Regulatory assets under management
| Total Number of Accounts | 293,993 |
| AUM (Assets Under Management) | $ 26,372,603,709 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2025 | ||
| 01/27/2025 | ||
| 04/29/2024 | ||
| 04/28/2023 |
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.
