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Nick J. Brown

Some features on this profile are disabled
CRD#: 32756
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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.

Nick J Brown was a registered financial professional .

Nick is a previously registered financial professional and started their career in finance in 1968. Nick had worked at 7 firms and has passed the Series 63, SIE, Series 6, Series 22 and Series 00 exams.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 17, 2018 - November 15, 2024

THE PLANNING GROUP

RIA
CRD#: 298496
NORTHFIELD, IL
Past

August 18, 2009 - January 24, 2019

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA
CRD#: 134139
Northfield, IL
Past

August 18, 2009 - December 31, 2018

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
Northfield, IL
Past

March 25, 2003 - August 19, 2009

WATERSTONE FINANCIAL GROUP, INC.

RIA
CRD#: 10078
NORTHFIELD, IL
Past

October 13, 1998 - December 31, 2003

STERLING PORTFOLIO ALLOCATION SERVICE INC

RIA
CRD#: 110796
NORTHFIELD, IL
Past

January 2, 1998 - August 19, 2009

WATERSTONE FINANCIAL GROUP, INC.

BD
CRD#: 10078
NORTHFIELD, IL
Past

July 30, 1996 - January 1, 1998

TRANSAMERICA FINANCIAL ADVISORS, INC.

BD
CRD#: 3600
LOS ANGELES, CA
Past

February 24, 1987 - January 1, 1992

WATERSTONE FINANCIAL GROUP, INC.

BD
CRD#: 10078
BOSTON, MA
Past

June 19, 1968 - February 23, 1978

CNA INVESTOR SERVICES, INC.

BD
CRD#: 163

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TP
THE PLANNING GROUP
THE PLANNING GROUP | TPG ADVISORS LLC

CRD#: 298496 / SEC#: 801-114032

RIA
Registered Investment Advisory firm - (9/20/2018 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/29/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 7/29/1996
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 2/23/1987
Direct Participation Programs Representative Examination
Principal/Supervisory Exam
RR
Series 00
Date: 5/20/1968
General Securities Principal Examination

Current Firm

TP
THE PLANNING GROUP
THE PLANNING GROUP | TPG ADVISORS LLC

CRD#: 298496 / SEC#: 801-114032

RIA
Registered Investment Advisory firm - (9/20/2018 Approved)
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Contact information

Main Address
465 Central Ave Suite 201, Northfield, IL 60093
Mailing Address
Phone number
(847) 441-9400
Established
Firm type
Fiscal year end
# of Employees
4

SEC notice filing (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2 2022 (3/14/2025)

Regulatory assets under management

Total Number of Accounts727
AUM (Assets Under Management)$ 235,778,880

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.

Company Information

THE PLANNING GROUP

CRD#: 298496

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