Richard Stephen Brown
Professional Summary
Richard Stephen Brown is a registered financial advisor currently at JNBA FINANCIAL ADVISORS, LLC located in Bloomington, Minnesota. Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Richard has worked at 6 firms and has passed the Series 63, Series 6 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Services Offered
- Financial Planning
- Estate & Legacy Planning
- Retirement Planning
Specializations
Biography
Richard S. Brown is Chairman and Chief Executive Officer of Minneapolis-based JNBA Financial Advisors, one of the premier wealth management firms in the United States. Since he joined the firm in 1996, the independent, fee-only Registered Investment Advisor (RIA) has grown from managing $90 million in client assets to advising on nearly $1.5 billion in assets. Richard is responsible for the company’s strategy, vision and approach. The firm’s fiercely independent status and advice driven by...
Other Aliases
There are no additional aliases reported.
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Contact Information
Direct
(xxx) xxx-xxxx
linkedin.com/in/xxxxxx
xxxxx@xxxx.xxx
Website
xxxxxxxxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
29 years in the financial services industry
Current & Past Employments
Education
University of Minnesota Duluth
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Current Firm
JNBA FINANCIAL ADVISORS INC | JNBA FINANCIAL ADVOCATES | JNBA FINANCIAL ADVISORS, LLC
Contact Information
Main Address
8500 Normandale Lake Blvd Suite 450, Bloomington, MN 55437Phone Number
(952) 844-0995# of Employees
36SEC notice filing (26 States and Territories)
Registered to provide investment advisory services in 26 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
4,157AUM (Assets Under Management)
$2,005,136,361Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/17/2025 | Cover Page | Report |
| 12/26/2024 | Cover Page | Report |
| 02/23/2024 | Cover Page | Report |
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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.
The advisor shows no other business activity.
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Primary Firm SEC Registration
JNBA FINANCIAL ADVISORS INC | JNBA FINANCIAL ADVOCATES | JNBA FINANCIAL ADVISORS, LLC
State Registrations and Notice Filings
(4/24/2015)
(12/17/2013)
(11/6/2020)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 1997About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Apr 2001About the Series 26 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Richard Stephen Brown's CRS (Customer Relationship Summary).
Services Offered by Richard
- Financial Planning
- Estate & Legacy Planning
- Retirement Planning
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