Charles A. Brown
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.
Charles Alan Brown was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1996. Charles had worked at 3 firms and has passed the Series 65, Series 63, Series 16 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 7, 2021 - March 10, 2023
GRAYPOINT LLC
March 30, 2009 - June 2, 2009
THOMASLLOYD CAPITAL LLC
January 8, 2007 - April 10, 2007
THOMASLLOYD CAPITAL LLC
November 22, 1996 - February 9, 2005
GLEACHER & COMPANY SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
GRAYPOINT LLC
CRD#: 135950 / SEC#: 801-64417
Contact information
Regulatory assets under management
| Total Number of Accounts | 818 |
| AUM (Assets Under Management) | $ 4,645,122,439 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/04/2025 | ||
| 12/23/2024 | ||
| 01/22/2024 | ||
| 11/23/2022 |
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.
