Michael E. Brown

CETERA INVESTMENT ADVISERS LLC

CLIFTON PARK, NY 12065

Some features on this profile are disabled

CRD#: 2300587

Professional summary

Michael Edward Brown, CFP®, CIMA® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Clifton Park, New York and CETERA WEALTH SERVICES, LLC located in Clifton Park, New York.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Michael has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

What are your service offerings?

Estate Planning

Insurance Planning

Comprehensive Financial Planni...

Investment Planning

Retirement Income Management

Retirement Planning

Tax Planning

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. NAME OF OTHER BUSINESS: MADISON WEALTH MANAGERS; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 8/2025, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 12/1992 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 2 BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Edward 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: 2001

CIMA^®

Certified Investment Management Analyst

Experience

Current

August 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 646 Plank Road Suite 200, Clifton Park, NY 12065

RIA

CRD#: 105644

CLIFTON PARK, NY

Current

August 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 646 Plank Road Suite 200, Clifton Park, NY 12065

CRD#: 13572

CLIFTON PARK, NY

Past

October 11, 2024 - August 14, 2025

OSAIC WEALTH, INC.

RIA

CRD#: 23131

CLIFTON PARK, NY

Past

October 11, 2024 - August 14, 2025

OSAIC WEALTH, INC.

CRD#: 23131

CLIFTON PARK, NY

Past

April 6, 2009 - October 11, 2024

AMERICAN PORTFOLIOS ADVISORS, INC

RIA

CRD#: 112697

HOLBROOK, NY

Past

March 30, 2009 - October 11, 2024

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

CLIFTON PARK, NY

Past

June 24, 2005 - April 15, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

ALBANY, NY

Past

July 1, 2003 - June 28, 2005

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

May 18, 2001 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

July 13, 1996 - June 22, 2001

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

July 3, 1995 - July 1, 1996

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

February 16, 1993 - February 25, 1993

FIRST MONTAUK SECURITIES CORP.

CRD#: 13755

RED BANK, NJ

Past

February 16, 1993 - July 3, 1995

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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.

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

Connecticut
(8/5/2025)

Florida
(8/5/2025)

Illinois
(8/5/2025)

Massachusetts
(8/5/2025)

Michigan
(8/5/2025)

New Jersey
(8/5/2025)

New York
(8/5/2025)

IAR

New York
(8/5/2025)

North Carolina
(8/15/2025)

Oregon
(9/16/2025)

Pennsylvania
(8/5/2025)

Rhode Island
(8/5/2025)

South Carolina
(8/5/2025)

Vermont
(9/12/2025)

Virginia
(9/12/2025)

Washington
(11/7/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/7/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/6/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 3/27/2000

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 2/9/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/8/2009

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Nichole Raftopoulos

NVEST FINANCIAL, LLC

IAR

Portland, ME

Douglas Kelly

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Latham, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael E. Brown

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Edward Brown's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

AMERICAN PORTFOLIOS ADVISORS, INC

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

UBS FINANCIAL SERVICES INC.

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

UBS FINANCIAL SERVICES INC.

PRUDENTIAL EQUITY GROUP, LLC

FIRST MONTAUK SECURITIES CORP.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/7/1995

Series 63

Date: 3/6/1993

SIE

Date: 10/1/2018

Series 31

Date: 3/27/2000

Series 7

Date: 2/9/1993

Series 24

Date: 6/8/2009

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Contact information

Similar Advisors