Howard Brown
Professional summary
Howard Brown is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Sunrise, Florida and CETERA INVESTMENT SERVICES LLC located in Sunrise, Florida.
Howard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Howard has worked at 12 firms and has passed the Series 65, Series 63, Series 72, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Howard Brown's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 9, 2019 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 13450 W Sunrise Blvd Ste #240, Sunrise, FL 33323October 4, 2019 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 13450 W Sunrise Blvd Suite # 240, Sunrise, FL 33323February 22, 2017 - November 7, 2019
LPL FINANCIAL LLC
February 21, 2017 - November 7, 2019
LPL FINANCIAL LLC
January 12, 2004 - February 2, 2017
CUNA BROKERAGE SERVICES, INC.
January 12, 2004 - February 2, 2017
CUNA BROKERAGE SERVICES, INC.
December 2, 2002 - October 31, 2003
TRUIST INVESTMENT SERVICES, INC.
October 2, 2001 - October 31, 2003
TRUIST INVESTMENT SERVICES, INC.
July 28, 1997 - September 13, 2000
ESSEX NATIONAL SECURITIES, LLC
July 21, 1997 - August 22, 2001
LASALLE FINANCIAL SERVICES, INC.
January 16, 1997 - July 17, 1997
FIS SECURITIES, INC.
November 13, 1996 - July 11, 1997
FLEET ENTERPRISES, INC.
November 14, 1994 - October 16, 1996
1717 CAPITAL MANAGEMENT COMPANY
October 17, 1990 - October 17, 1994
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
October 17, 1990 - October 17, 1994
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/18/2021)
(10/4/2019)
(10/9/2019)
(10/4/2019)
(5/28/2025)
(10/4/2019)
(4/27/2020)
(10/4/2019)
(11/8/2019)
(8/26/2024)
(10/4/2019)
(11/13/2019)
Exams
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationFINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Sunrise, FL 33323TRUST BUT VERIFY
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