James A. Brown
Professional summary
James Alan Brown, who also goes by Jim Brown, is a registered financial advisor currently at SYCAMORE FINANCIAL ADVISORS, INC. located in Nashville, Tennessee.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1973. James has worked at 6 firms and has passed the Series 65, Series 63, SIE, PC, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James Alan Brown's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 26, 2016 - Present
SYCAMORE FINANCIAL ADVISORS, INC.
Office #1: 4333 Wallace Ln, Nashville, TN 37215October 1, 1999 - October 3, 2016
WELLS FARGO CLEARING SERVICES, LLC
October 1, 1999 - October 3, 2016
WELLS FARGO CLEARING SERVICES, LLC
January 28, 1999 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
May 25, 1994 - February 1, 1999
LEGG MASON WOOD WALKER, INCORPORATED
January 9, 1984 - June 1, 1994
THE ROBINSON-HUMPHREY COMPANY, LLC
July 2, 1973 - July 13, 1974
&PARTNERS
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(9/26/2016)
(4/3/2017)
Exams
PC
Date: 5/5/1977
AMEX Put and Call ExamSeries 1
Date: 6/26/1973
Registered Representative ExaminationSeries 8
Date: 1/6/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SYCAMORE FINANCIAL ADVISORS, INC.
CRD#: 108628 / SEC#: 801-55650
Contact information
Regulatory assets under management
| Total Number of Accounts | 230 |
| AUM (Assets Under Management) | $ 91,825,624 |
Red Flags
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