Alvin 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.
Alvin Brown, who also goes by Al Brown, was a registered financial professional .
Alvin is a previously registered financial professional and started their career in finance in 1967. Alvin had worked at 10 firms and has passed the Series 63, Series 5, Series 15, PC, Series 000, Series 1, Series 12, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 26, 2008 - December 21, 2012
LPL FINANCIAL LLC
August 26, 2008 - December 21, 2012
LPL FINANCIAL LLC
November 29, 2006 - August 27, 2008
OSAIC WEALTH, INC.
April 14, 2005 - January 2, 2013
PROFESSIONAL FINANCIAL ADVISORS
November 4, 1997 - December 4, 2006
INVESTMENT ADVISORS & CONSULTANTS, INC.
October 27, 1994 - November 13, 1995
INVESTMENT ADVISORS & CONSULTANTS, INC.
June 13, 1991 - November 19, 1992
REICH & CO., INC.
June 20, 1988 - November 28, 1989
BUTCHER & SINGER INC.
January 25, 1982 - May 17, 1988
PRUDENTIAL EQUITY GROUP, LLC
April 24, 1981 - April 14, 1983
ROBERTS SECURITIES CORPORATION
November 6, 1979 - April 3, 1981
INDIVIDUAL'S SECURITIES LTD.
November 28, 1967 - May 22, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 3/18/1983
Interest Rate Options ExaminationSeries 15
Date: 3/7/1983
Foreign Currency Options ExaminationPC
Date: 4/19/1978
AMEX Put and Call ExamSeries 000
Date: 11/27/1967
General Securities Principal ExaminationSeries 1
Date: 11/27/1967
Registered Representative ExaminationSeries 12
Date: 2/20/1982
NYSE Branch Manager ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
