Roy W. Brown

TRUEMAN BROWN

Lake Zurich, IL 60047

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CRD#: 2194463

Professional summary

Roy William Brown, CFP® is a registered financial advisor currently at TRUEMAN BROWN located in Lake Zurich, Illinois.

Roy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Roy has worked at 3 firms and has passed the Series 63 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.

RVTV PROPERTIES CO-OWNER/VICE PRESIDENT 0-COMPENSATION PER YEAR 2HRS PER MONTH

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roy William Brown's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 1997

Experience

Current

February 15, 2007 - Present

TRUEMAN BROWN

Office #1: 765 Ela Road Suite 301, Lake Zurich, IL 60047

RIA

CRD#: 141602

Lake Zurich, IL

Past

February 6, 1998 - February 15, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

ROLLING MEADOWS, IL

Past

February 10, 1992 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

February 10, 1992 - February 15, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

ROLLING MEADOWS, IL

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".

TRUEMAN BROWN

TRUEMAN ADVISORY, LLC | TRUEMAN BROWN, LLC | TRUEMAN BROWN

CRD#: 141602 / SEC#: 801-120742

RIA

Registered Investment Advisory firm - (4/8/2021 Approved)

Illinois

Registered Investment Advisory firm - (4/8/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Illinois
(2/15/2007)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 2/11/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/7/1992

General Securities Representative Examination

Current Firm

TRUEMAN BROWN

TRUEMAN ADVISORY, LLC | TRUEMAN BROWN, LLC | TRUEMAN BROWN

CRD#: 141602 / SEC#: 801-120742

RIA

Registered Investment Advisory firm - (4/8/2021 Approved)

Illinois

Registered Investment Advisory firm - (4/8/2021 Terminated)

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Contact information

Main Address

765 Ela Road Suite 301, Lake Zurich, IL 60047

Mailing Address

Phone number

(847) 228-1968

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TRUEMAN BROWN, LLC DISCLOSURE BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	364
AUM (Assets Under Management)	$ 173,315,977

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.

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Roy W. Brown

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roy William Brown's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRUEMAN BROWN

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

TRUEMAN BROWN

State Registrations and Notice Filings

Exams

Series 63

Date: 2/11/1992

Series 7

Date: 2/7/1992

Current Firm

TRUEMAN BROWN

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TRUEMAN BROWN

TRUST BUT VERIFY

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