William R. 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.
William R Brown, who also goes by Bill Brown Jr, William Robert Brown Jr, William Robert Brown, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1989. William had worked at 22 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7, Series 8 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
February 18, 2026 - June 10, 2026
J.P. MORGAN SECURITIES LLC
February 17, 2026 - June 10, 2026
J.P. MORGAN SECURITIES LLC
September 5, 2025 - February 24, 2026
LPL FINANCIAL LLC
September 5, 2025 - February 24, 2026
LPL FINANCIAL LLC
October 24, 2023 - January 26, 2024
STATE FARM INVESTMENT MANAGEMENT CORP.
October 24, 2023 - January 26, 2024
STATE FARM VP MANAGEMENT CORP.
January 27, 2023 - September 22, 2023
ALLSTATE FINANCIAL ADVISORS, LLC
January 27, 2023 - September 22, 2023
ALLSTATE FINANCIAL SERVICES, LLC
January 29, 2020 - December 12, 2022
PNC WEALTH MANAGEMENT LLC
January 14, 2020 - December 12, 2022
PNC WEALTH MANAGEMENT LLC
July 26, 2019 - January 2, 2020
EDWARD JONES
July 26, 2019 - January 2, 2020
EDWARD JONES
June 27, 2017 - July 10, 2019
CITIGROUP GLOBAL MARKETS INC.
June 27, 2017 - July 10, 2019
CITIGROUP GLOBAL MARKETS INC.
April 27, 2009 - March 9, 2017
TD AMERITRADE, INC.
April 27, 2009 - March 9, 2017
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
April 27, 2009 - March 9, 2017
TD AMERITRADE, INC.
January 31, 2005 - February 13, 2009
STRATEGIC ADVISERS LLC
January 10, 2005 - February 13, 2009
FIDELITY BROKERAGE SERVICES LLC
June 30, 2003 - January 7, 2005
AMERIPRISE ADVISOR SERVICES, INC.
October 17, 2002 - July 10, 2003
CHOREO, LLC
January 11, 1995 - January 7, 2005
AMERIPRISE ADVISOR SERVICES, INC.
March 21, 1994 - October 7, 1994
AMERIPRISE FINANCIAL SERVICES, LLC
March 21, 1994 - March 22, 2005
IDS LIFE INSURANCE COMPANY
May 7, 1993 - April 7, 1994
FIRST AFFILIATED SECURITIES
August 12, 1991 - April 29, 1993
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
February 4, 1991 - August 8, 1991
BILTMORE SECURITIES, INC.
July 20, 1990 - January 14, 1991
KOCHCAPITAL
October 25, 1989 - July 27, 1990
J. W. GANT & ASSOCIATES, INC.
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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
Series 6TO
Date: 10/24/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 8
Date: 4/7/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLAVITA, MOLLIE | ELECTED MANAGER | 1875615 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 393 |
| Civil Event | 9 |
| Arbitration | 144 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 |
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.
