James D. 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.
James Dorsey Brown III, who also goes by James Dorsey Brown, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1966. James had worked at 6 firms and has passed the PC, Series 41, Series 000, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 29, 2012 - May 9, 2017
BROWN ADVISORY
January 13, 2001 - January 30, 2002
DEUTSCHE BANK SECURITIES INC.
September 1, 1997 - January 13, 2001
DB ALEX. BROWN LLC
October 17, 1990 - April 9, 2012
BROWN ADVISORY
October 10, 1966 - November 1, 1974
ROBERT GARRETT & SONS INCORPORATED
October 7, 1966 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
Primary Firm SEC Registration
BROWN ADVISORY
CRD#: 110181 / SEC#: 801-38826
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
PC
Date: 7/26/1978
AMEX Put and Call ExamSeries 41
Date: 11/20/1973
NYSE Allied Member ExaminationSeries 000
Date: 10/7/1966
General Securities Principal ExaminationSeries 1
Date: 10/7/1966
Registered Representative ExaminationSeries 00
Date: 11/20/1973
General Securities Principal ExaminationCurrent Firm
BROWN ADVISORY
CRD#: 110181 / SEC#: 801-38826
Contact information
SEC notice filing (44 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 24,921 |
| AUM (Assets Under Management) | $ 121,936,354,796 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/21/2025 | ||
| 10/28/2024 | ||
| 01/24/2024 | ||
| 10/27/2022 |
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.
