Douglas J. Brown
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CRD#: 2353834
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Douglas James Brown, CFP®, who also goes by Doug Brown, Douglas Brown, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1993. Douglas had worked at 7 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Doug Brown | Douglas Brown
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.
AGIA POSITION: Agent NATURE: null INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 12/17/2022 ADDRESS: 2929 Allen Parkway, Houston TX 77019, United States DESCRIPTION: Non-Securities Insurance Products HALAU WA'A EPISCOPAL - HONO'ULI'ULI POSITION: Treasurer NATURE: Halau Wa'a Episcopal is an Organized Mission of the Episcopal Diocese of Hawaii serving and ministering to the West Oahu communities of Ewa Beach and Kapolei. The Diocese is a registered IRS 501(c)(3) religious non-profit entity. The mission is headed by a Vicar and the board consists of the Vicar, a Senior Warden, Junior Warden, Treasurer and five Bishop's Committee members. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2022 ADDRESS: PO Box 700501, Kapolei HI 96709-0501, United States DESCRIPTION: Accept donations on behalf of the mission and verify funds were deposited to the mission's bank account. Record the amount and the donors name for tax purposes. Issue receipts for large donations and provide contribution statements at the end of the year to donors. Supervise the bookkeeper in maintaining detailed records of all financial transactions. Contract with the payroll services vendor to pay employees, file federal and state employer tax returns and issue W-2 and 1099 forms. The mission has one active employee (the Vicar) and one paid contractors (the bookkeeper). Reconcile bank statements with the mission's general ledger. Monitor the mission's holdings in the diocesan investment portfolio. Deliver quarterly market value and earnings reports to the board. Present a quarterly statement on the mission's finances to its membership. Participate in biannual financial audits with the diocese's CPA firm. Meet with the board to review the ledger and financial reports to manage upcoming expenses, events, or changes to the mission's operation.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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®
Start date: 2014
Experience
Past
November 1, 2021 - April 26, 2023
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
HONOLULU, HI
Past
November 1, 2021 - April 26, 2023
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
HONOLULU, HI
Past
January 15, 2020 - June 11, 2021
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
KAPOLEI, HI
Past
January 15, 2020 - June 11, 2021
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
WAHIAWA, HI
Past
September 29, 2016 - December 31, 2019
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
HONOLULU, HI
Past
September 29, 2016 - December 31, 2019
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
HONOLULU, HI
Past
September 2, 2005 - July 17, 2015
FIRST COMMAND BROKERAGE SERVICES, INC.
RIA
CRD#: 3641
AIEA, HI
Past
April 12, 2004 - September 2, 2005
FIRST COMMAND BANK
RIA
CRD#: 128851
FORT WORTH, TX
Past
March 8, 2001 - April 12, 2004
FIRST COMMAND BROKERAGE SERVICES, INC.
RIA
CRD#: 3641
AIEA, HI
Past
August 10, 1993 - July 17, 2015
FIRST COMMAND BROKERAGE SERVICES, INC.
BD
CRD#: 3641
AIEA, HI
Past
July 13, 1993 - July 26, 1993
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
July 13, 1993 - July 26, 1993
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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".
VF
VALIC FINANCIAL ADVISORS, INC.
AIG RETIREMENT ADVISORS, INC. | VALIC INVESTMENT SERVICES COMPANY | VALIC FINANCIAL ADVISORS, INC. | COREBRIDGE FINANCIAL | AMERICAN GENERAL FINANCIAL ADVISORS, INC. | AIG RETIREMENT SERVICES
CRD#: 42803 / SEC#: 801-54952, 8-50018
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
VF
VALIC FINANCIAL ADVISORS, INC.
AIG RETIREMENT ADVISORS, INC. | VALIC INVESTMENT SERVICES COMPANY | VALIC FINANCIAL ADVISORS, INC. | COREBRIDGE FINANCIAL | AMERICAN GENERAL FINANCIAL ADVISORS, INC. | AIG RETIREMENT SERVICES
CRD#: 42803 / SEC#: 801-54952, 8-50018
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
2919 Allen Parkway L3-20, Houston, TX 77019
Mailing Address
2919 Allen Parkway L3-20, Houston, TX 77019-2158
Phone number
(866) 544-4968
Established
Texas since 11/18/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,633
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VARIABLE ANNUITY LIFE INSURANCE COMPANY | DIRECT OWNER | |
| BURNETTE, CYNTHIA LEA | CHIEF FINANCIAL OFFICER AND TREASURER | 1863103 |
| FORTEY, MICHAEL | VFA CHIEF COMPLIANCE OFFICER BROKER DEALER | 2304969 |
| GIBSON, KRISTA DE LOIS | PRESIDENT; SVP, HEAD OF PRODUCT & ADVISORY SERVICES | 2348708 |
| JOE, CHRISTOPHER CHUCK | VFA CHIEF COMPLIANCE OFFICER INVESTMENT ADVISOR | 2373056 |
| LOGAN, JOHN ALBERT | CHIEF OPERATIONS OFFICER | 4378887 |
| MARCIEL-CARR, THERESA H | VICE PRESIDENT, FIELD SUPERVISION | 5428259 |
| NORRIS, JOHN ERIK | SECRETARY | 8188573 |
| RINK, VERONICA LYNETTE | VICE PRESIDENT, BUSINESS ADMINISTRATION | 4724432 |
Regulatory assets under management
| Total Number of Accounts | 293,993 |
| AUM (Assets Under Management) | $ 26,372,603,709 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2025 | ||
| 01/27/2025 | ||
| 04/29/2024 | ||
| 04/28/2023 |
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.
