John C. Brown

BROWN AND BROWN FINANCIAL SERVICES

Dallas, TX 75206

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CRD#: 32524

Professional summary

John Colon Brown JR, CFP® is a registered financial advisor currently at BROWN AND BROWN FINANCIAL SERVICES, INC. located in Dallas, Texas and BROWN AND BROWN SECURITIES, INC. located in Dallas, Texas.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1968. John has worked at 6 firms and has passed the Series 63, Series 52TO, Series 7TO, SIE, Series 1, Series 14, Series 24, Series 53, Series 4 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

AS REPORTED ON FORM U-4 REGISTRATIONS, JOHN COLON BROWN JR. IS PRESIDENT OF BROWN AND BROWN SECURITIES, INC., A REGISTERED BROKER DEALER, AND PRESIDENT OF BROWN AND BROWN FINANCIAL SERVICES, INC., A REGISTERED INVESTMENT ADVISORY FIRM. MR. BROWN HAS HELD THESE POSITIONS SINCE 1984 AND HE DEVOTES APPROXIMATE 100 HOURS PER MONTH TO EACH FIRM AS CHIEF EXECUTIVE OFFICER TO THESE INVESTMENT RELATED FIRMS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Colon Brown JR's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Experience

Current

January 10, 2007 - Present

BROWN AND BROWN FINANCIAL SERVICES, INC.

Office #1: 6440 North Central Expressway #107, Dallas, TX 75206

RIA

CRD#: 105392

Dallas, TX

Current

January 22, 1985 - Present

BROWN AND BROWN SECURITIES, INC.

Office #1: 6440 North Central Expressway #107, Dallas, TX 75206Office #2: 6440 North Central Expressway #107, Dallas, TX 75206-4026

CRD#: 15560

Dallas, TX

Past

September 25, 1984 - January 2, 1986

GILFORD SECURITIES INCORPORATED

CRD#: 8076

Past

February 24, 1978 - September 26, 1984

MORGAN STANLEY DW INC.

CRD#: 7556

Past

May 16, 1973 - February 24, 1978

DEAN WITTER & CO. INCORPORATED

CRD#: 6466

Past

November 1, 1968 - May 16, 1973

DEAN WITTER & CO. INCORPORATED

CRD#: 209

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(6/10/1991)

Colorado
(5/24/2017)

Florida
(8/22/1991)

Georgia
(2/25/2000)

Louisiana
(9/21/1989)

IAR

Louisiana
(3/26/2012)

Texas
(9/19/1984)

IAR

Texas
(1/10/2007)

Utah
(2/27/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Registered Principal Examination

SRO Registrations

FINRA

Current Firm

BROWN AND BROWN FINANCIAL SERVICES, INC.

BROWN & BROWN FINANCIAL SERVICES INC | BROWN AND BROWN FINANCIAL SERVICES, INC. | BROWN & BROWN FINANCIAL SERVICES, INC.

CRD#: 105392 / SEC#: 801-23005

RIA

Registered Investment Advisory firm - (6/29/2012 Terminated)

Louisiana

Registered Investment Advisory firm - (3/26/2012 Approved)

Texas

Registered Investment Advisory firm - (2/23/2011 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

6440 North Central Expressway #107, Dallas, TX 75206

Mailing Address

Phone number

(214) 696-1768

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	121
AUM (Assets Under Management)	$ 81,202,871

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.

Contact information

xxxxx@xxxx.xxx

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John C. Brown

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Colon Brown JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

BROWN AND BROWN SECURITIES, INC.

GILFORD SECURITIES INCORPORATED

MORGAN STANLEY DW INC.

DEAN WITTER & CO. INCORPORATED

DEAN WITTER & CO. INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 8/24/1982

Series 52TO

Date: 9/25/2025

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 3/24/1965

Series 14

Date: 1/2/2023

Series 24

Date: 1/2/2023

Series 53

Date: 1/2/2023

Series 4

Date: 1/2/2023

Series 40

Date: 9/7/1972

FINRA

Current Firm

BROWN AND BROWN FINANCIAL SERVICES, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BROWN AND BROWN FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

Contact information

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