RB
Ronald A. Brown
J M BROWN FINANCIAL PARTNERS
Tulsa, OK 74136-5740
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CRD#: 2172320
RB
Professional summary
Ronald Alan Brown is a registered financial advisor currently at J M BROWN FINANCIAL PARTNERS located in Tulsa, Oklahoma and PURSHE KAPLAN STERLING INVESTMENTS located in Tulsa, Oklahoma.
Ronald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Ronald has worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE and Series 7 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) JM BROWN FINACIAL PARTNERS. - IT IS INVESTMENT RELATED-REGISTERED INVESTMENT ADVISOR, TITLE-FINANCIAL ADVISOR, 1/1/2013, 7060 S. YALE, SUITE 701, TULSA, OK 74136. PRESIDENT AND CHIEF COMPLIANCE OFFICER. FORMERLY JM BROWN AND ASSOCIATES. 2) PKS FINANCIAL SERVICES; INVESTMENT RELATED 80 STATE ST, ALBANY, NY 12207; FIXED INSURANCE; INSURANCE AGENT; SALES & SERVICE OF FIXED LIFE INSURANCE & ANNUITY CONTRACTS START DATE: 1/12/12 3) Lifestyle Protection Inc. Insurance Agency; Investment Related; 7060 S. Yale Suite 701, Tulsa, OK 74136; Insurance Agency; Insurance Agent; 09/15/2021; 5 hrs/mo; 5 hrs during trading; As agent service existing policies and write new non-variable insurance contracts primarily with independent carriers. 4) AROMITO CAPITAL, LLC - LIMITED PARTNER. 0 HOURS. INVSETMENT MADE FEBRUARY 22, 2008 TULSA, OK 74114 5) Tato, LLC-Investment related-PO Box 650567, Dallas, TX 75265-TD Ameritrade-Manager 6) Roserock Investment Solutions 7060 S. Yale Suite 701, Tulsa, OK 74136. Third Party Investment Advisory Services . Owner of DBA. Investment related. Start 12/2022. 10 hours/8 hours/.
CRS (Client Relationship Summary) - RIA
Click below to view Ronald Alan 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
November 14, 2005 - Present
J M BROWN FINANCIAL PARTNERS
Office #1: 7060 S. Yale Suite 701, Tulsa, OK 74136-5740RIA
CRD#: 118427
Tulsa, OK
Current
January 12, 2012 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 7060 S. Yale Suite 701, Tulsa, OK 74136-5740BD
CRD#: 35747
Tulsa, OK
Past
August 28, 2002 - December 31, 2011
ASKAR CORP.
BD
CRD#: 7512
TULSA, OK
Past
April 16, 1997 - May 2, 2002
ABN AMRO INCORPORATED
BD
CRD#: 15776
STAMFORD, CT
Past
December 9, 1993 - January 29, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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".
JM
J M BROWN FINANCIAL PARTNERS
J M BROWN & ASSOCIATES, INC. | ROSEROCK INVESTMENT SOLUTIONS | J M BROWN FINANCIAL PARTNERS | J M BROWN AND ASSOCIATES INC.
CRD#: 118427 / SEC#: 801-130747
RIA
Registered Investment Advisory firm - (7/24/2024 Approved)Arkansas
Registered Investment Advisory firm - (11/24/2020 Terminated)California
Registered Investment Advisory firm - (9/8/2024 Terminated)Kansas
Registered Investment Advisory firm - (8/9/2024 Terminated)Michigan
Registered Investment Advisory firm - (8/13/2024 Terminated)New Jersey
Registered Investment Advisory firm - (8/29/2024 Terminated)New York
Registered Investment Advisory firm - (8/9/2024 Terminated)Oklahoma
Registered Investment Advisory firm - (8/14/2024 Terminated)Tennessee
Registered Investment Advisory firm - (8/9/2024 Terminated)Texas
Registered Investment Advisory firm - (8/9/2024 Terminated)Virginia
Registered Investment Advisory firm - (8/26/2024 Terminated)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
Arkansas(1/12/2012)
RR
Colorado(10/28/2025)
RR
District of Columbia(9/23/2022)
RR
Florida(1/12/2012)
RR
Illinois(9/23/2022)
RR
Indiana(12/19/2013)
RR
Kansas(1/8/2021)
RR
Louisiana(5/8/2023)
RR
Missouri(10/14/2021)
RR
New York(10/26/2022)
RR
North Carolina(2/5/2013)
IAR
Oklahoma(11/14/2005)
RR
Oklahoma(1/12/2012)
RR
South Dakota(10/14/2021)
RR
Tennessee(9/9/2016)
RR
Texas(1/12/2012)
RR
Wisconsin(1/2/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
JM
J M BROWN FINANCIAL PARTNERS
J M BROWN & ASSOCIATES, INC. | ROSEROCK INVESTMENT SOLUTIONS | J M BROWN FINANCIAL PARTNERS | J M BROWN AND ASSOCIATES INC.
CRD#: 118427 / SEC#: 801-130747
RIA
Registered Investment Advisory firm - (7/24/2024 Approved)Arkansas
Registered Investment Advisory firm - (11/24/2020 Terminated)California
Registered Investment Advisory firm - (9/8/2024 Terminated)Kansas
Registered Investment Advisory firm - (8/9/2024 Terminated)Michigan
Registered Investment Advisory firm - (8/13/2024 Terminated)New Jersey
Registered Investment Advisory firm - (8/29/2024 Terminated)New York
Registered Investment Advisory firm - (8/9/2024 Terminated)Oklahoma
Registered Investment Advisory firm - (8/14/2024 Terminated)Tennessee
Registered Investment Advisory firm - (8/9/2024 Terminated)Texas
Registered Investment Advisory firm - (8/9/2024 Terminated)Virginia
Registered Investment Advisory firm - (8/26/2024 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
7060 S. Yale Suite 701, Tulsa, OK 74136-5740
Mailing Address
Phone number
(918) 496-5460
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 934 |
| AUM (Assets Under Management) | $ 158,000,000 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
J M BROWN FINANCIAL PARTNERS
CRD#: 118427Tulsa, OK 74136-5740TRUST BUT VERIFY
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Contact information
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