KB
Keith R. Brown
TLG ADVISORS
Shelton, CT 06484
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CRD#: 1865779
KB
Professional summary
Keith Richard Brown is a registered financial advisor currently at TLG ADVISORS, INC. located in Shelton, Connecticut and THE LEADERS GROUP, INC. located in Summit, New Jersey.
Keith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Keith has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.) ASSURED PARTNERS - 10/1/2015 - 100 Beard Saw Mill Road, Shelton, CT 06484 - Sales, Sales of employee benefits, Not Invt Rel, Insurance sales, 160 hrs/mo; 160 hrs/mo (during trading hours). 2.) TLG ADVISORS, INC - 02/04/2020 - 26 W Dry Creek Circle, Suite 800, Littleton, CO 80120 - IAR Rep, Invt Rel, IAR Business, 0 hrs/mo; 0 hrs/mo (during trading hoours).
CRS (Client Relationship Summary) - RIA
Click below to view Keith Richard 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
February 4, 2020 - Present
TLG ADVISORS, INC.
Office #1: 100 Beard Saw Mill Road, Shelton, CT 06484RIA
CRD#: 111052
Shelton, CT
Current
February 4, 2020 - Present
THE LEADERS GROUP, INC.
Office #1: 475 Springfield Ave, Summit, NJ 07901BD
CRD#: 37157
Summit, NJ
Past
February 26, 2018 - November 30, 2018
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
REDDING, CT
Past
April 20, 2009 - November 30, 2018
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
REDDING, CT
Past
April 5, 2004 - December 31, 2008
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
BRIDGEPORT, CT
Past
March 21, 2001 - December 31, 2003
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
November 23, 1993 - August 16, 2000
HIMCO DISTRIBUTION SERVICES COMPANY
BD
CRD#: 6604
HARTFORD, CT
Past
August 22, 1988 - January 6, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
August 22, 1988 - January 6, 1992
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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".
TA
TLG ADVISORS, INC.
ABUNDANT WEALTH MANAGEMENT | XCEPTION ADVISORY GROUP | WILLIAM STAPLES INS & FINANCIAL SVCS INC | WEALTH STRATEGIES GROUP | WEALTH ADVANTAGE GROUP | TLG ADVISORS, INC. | THE WADSWORTH GROUP | STRATEGIC PLANNING GROUP PLLC | STARLIGHT PORTFOLIOS | SENIOR FINANCIAL PLANNING LLC | RIVERTREE FINANCIAL PLANNING LLC | RESOURCE INSURANCE & FINANCIAL GROUP | RAABE & ASSOCIATES | PASSERELLE ADVISORS | PACIFIC PEAK ADVISORS | PACIFIC CAPITAL STRATEGIES, INC. | MILESTONE FINANCIAL SOLUTIONS | MACK FINANCIAL GROUP, INC | INSLEY INVESTMENT GROUP LLC | INSLEY INVESTMENT GROUP | HN WEALTH MANAGEMENT | HANSON WEALTH MANAGEMENT | GIDEON STRATEGIC PARTNERS, | GERRARD ADVISORS LLC | GARLIKOV ADVISORS INC | CLARITY FINANCIAL | CANTILEVER WEALTH MANAGEMENT LLC | ASSET MANAGEMENT GROUP
CRD#: 111052 / SEC#: 801-60458
RIA
Registered Investment Advisory firm - (8/6/2001 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
Connecticut(2/4/2020)
IAR
Connecticut(2/4/2020)
RR
New Jersey(2/4/2020)
RR
New York(2/4/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TA
TLG ADVISORS, INC.
ABUNDANT WEALTH MANAGEMENT | XCEPTION ADVISORY GROUP | WILLIAM STAPLES INS & FINANCIAL SVCS INC | WEALTH STRATEGIES GROUP | WEALTH ADVANTAGE GROUP | TLG ADVISORS, INC. | THE WADSWORTH GROUP | STRATEGIC PLANNING GROUP PLLC | STARLIGHT PORTFOLIOS | SENIOR FINANCIAL PLANNING LLC | RIVERTREE FINANCIAL PLANNING LLC | RESOURCE INSURANCE & FINANCIAL GROUP | RAABE & ASSOCIATES | PASSERELLE ADVISORS | PACIFIC PEAK ADVISORS | PACIFIC CAPITAL STRATEGIES, INC. | MILESTONE FINANCIAL SOLUTIONS | MACK FINANCIAL GROUP, INC | INSLEY INVESTMENT GROUP LLC | INSLEY INVESTMENT GROUP | HN WEALTH MANAGEMENT | HANSON WEALTH MANAGEMENT | GIDEON STRATEGIC PARTNERS, | GERRARD ADVISORS LLC | GARLIKOV ADVISORS INC | CLARITY FINANCIAL | CANTILEVER WEALTH MANAGEMENT LLC | ASSET MANAGEMENT GROUP
CRD#: 111052 / SEC#: 801-60458
RIA
Registered Investment Advisory firm - (8/6/2001 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
475 Springfield Ave, Summit, NJ 07901
Mailing Address
Phone number
(888) 371-0013
Established
Firm type
Fiscal year end
# of Employees
280
SEC notice filing (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,331 |
| AUM (Assets Under Management) | $ 1,948,103,893 |
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.
Company Information
TLG ADVISORS, INC.
CRD#: 111052Shelton, CT 06484TRUST BUT VERIFY
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