Malcolm William Brown
Professional Summary
Malcolm William Brown, who also goes by Malcolm Brown, was a registered financial advisor. Malcolm was registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Malcolm had worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Malcolm Brown
Similar Advisors
ROCKSIDE INVESTMENTS LLC
CAPITAL ADVISORY SERVICES, LLC
EQUITABLE ADVISORS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
ROCKSIDE INVESTMENTS LLC
CAPITAL ADVISORY SERVICES, LLC
EQUITABLE ADVISORS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
ROCKSIDE INVESTMENTS LLC
CAPITAL ADVISORY SERVICES, LLC
EQUITABLE ADVISORS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
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.
Similar Advisors
ROCKSIDE INVESTMENTS LLC
CAPITAL ADVISORY SERVICES, LLC
EQUITABLE ADVISORS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
Years of Experience
33 years in the financial services industry
Current & Past Employments
Similar Advisors
ROCKSIDE INVESTMENTS LLC
CAPITAL ADVISORY SERVICES, LLC
EQUITABLE ADVISORS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
Current Firm
No current employmentSimilar Advisors
ROCKSIDE INVESTMENTS LLC
CAPITAL ADVISORY SERVICES, LLC
EQUITABLE ADVISORS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
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.
Similar Advisors
ROCKSIDE INVESTMENTS LLC
CAPITAL ADVISORY SERVICES, LLC
EQUITABLE ADVISORS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
(8/19/2026)
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.
Similar Advisors
ROCKSIDE INVESTMENTS LLC
CAPITAL ADVISORY SERVICES, LLC
EQUITABLE ADVISORS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
ROCKSIDE INVESTMENTS LLC
CAPITAL ADVISORY SERVICES, LLC
EQUITABLE ADVISORS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
