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RB

Robert Brill Brown

HEROLD & LANTERN INVESTMENTS

MELVILLE, NY

·CRD# 32896·70 years experience

Professional Summary

Robert Brill Brown is a registered financial advisor currently at HEROLD & LANTERN INVESTMENTS, INC. located in Melville, New York. Robert is registered as a RR (Registered Representative) and started their career in finance in 1969. Robert has worked at 7 firms and has passed the Series 63, Series 99TO, Series 7TO, Series 52TO, Series 79TO, SIE, Series 1, Series 24, Series 53, Series 4 and Series 40 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

70 years in the financial services industry

Current & Past Employments

HEROLD & LANTERN INVESTMENTS, INC.·CRD# 30996

BD

35 Pinelawn Road Suite 101e, Melville, NY 11747

April 12, 2024 - Present

WESTERN INTERNATIONAL SECURITIES, INC.·CRD# 39262

BD

Mitchel Field, NY

October 23, 2015 - April 15, 2024

BRILL SECURITIES, INC.·CRD# 18565

BD

New York, NY

February 13, 1987 - October 30, 2015

FINANCIAL SQUARE PARTNERS·CRD# 1541

BD

November 19, 1986 - March 14, 1987

SELIGMAN SECURITIES, INC.·CRD# 3361

BD

August 31, 1983 - November 18, 1986

L. F. ROTHSCHILD & CO. INCORPORATED·CRD# 501

BD

May 8, 1975 - September 12, 1983

J.P. MORGAN SECURITIES LLC·CRD# 79

BD

July 21, 1969 - June 19, 1975

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Current Firm

H&

HEROLD & LANTERN INVESTMENTS, INC.

HEROLD & LANTERN INVESTMENTS, INC. | LANTERN INVESTMENTS, INC.

CRD#: 30996 / SEC#: 8-45285

BD

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

Contact Information

Main Address

35 Pinelawn Road Suite 101e, Melville, NY 11747

Mailing Address

35 Pinelawn Road Suite 101e, Melville, NY 11747

Phone Number

(631) 454-2000

Established

Delaware since 08/28/1992

Firm Type

Corporation

Fiscal Year End

June

Firm Size

Small

FINRA licenses (51 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
PERCHERON ASSET MANAGEMENT GROUP, INC.	OWNER	—
HEROLD, LAWRENCE STEPHEN	CHIEF OPERATING OFFICER/FINOP	870531
LANTON, KEITH MICHAEL	PRESIDENT	1703378
SHEFTEL, WENDY DIANE	CHIEF COMPLIANCE OFFICER	2300282

Disclosures

Regulatory Event

1

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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.

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State Registrations and Notice Filings

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

RR

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

RR

Arizona
(4/12/2024)

RR

California
(4/12/2024)

RR

Connecticut
(4/12/2024)

RR

Maryland
(4/12/2024)

RR

New Jersey
(4/12/2024)

RR

New York
(4/12/2024)

RR

North Carolina
(4/18/2024)

RR

South Carolina
(4/12/2024)

RR

Texas
(4/12/2024)

RR

Washington
(4/12/2024)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 1980About the Series 63 exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

Series 7TO — General Securities Representative Examination

Passed Jan 2023About the Series 7TO exam

Series 52TO — Municipal Securities Representative Examination

Passed Jan 2023About the Series 52TO exam

Series 79TO — Investment Banking Registered Representative Examination

Passed Jan 2023About the Series 79TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 1 — Registered Representative Examination

Passed Jun 1956

Series 24 — General Securities Principal Examination

Passed Jan 2023About the Series 24 exam

Series 53 — Municipal Securities Principal Examination

Passed Jan 2023About the Series 53 exam

Series 4 — Registered Options Principal Examination

Passed Nov 1983About the Series 4 exam

Series 40 — Registered Principal Examination

Passed Jul 1969

FINRA

SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Robert Brill Brown's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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RB

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