Stephen W. 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.
Stephen Weldon Brown, who also goes by Steve Brown, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1974. Stephen had worked at 12 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 23, 2012 - December 7, 2016
LPL FINANCIAL LLC
September 8, 2009 - December 8, 2011
LPL FINANCIAL LLC
September 8, 2009 - December 7, 2016
LPL FINANCIAL LLC
December 19, 2008 - September 8, 2009
ASSOCIATED SECURITIES CORP.
December 18, 2008 - September 8, 2009
ASSOCIATED SECURITIES CORP.
January 10, 2005 - December 31, 2008
FSC SECURITIES CORPORATION
January 10, 2005 - December 31, 2008
FSC SECURITIES CORPORATION
April 17, 2002 - January 6, 2005
OSAIC WEALTH, INC.
March 18, 1999 - January 6, 2005
OSAIC WEALTH, INC.
February 26, 1999 - January 6, 2005
WHJR ASSOCIATES
November 19, 1989 - April 15, 2002
OSAIC WEALTH, INC.
January 9, 1987 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
August 13, 1986 - January 27, 1987
FINANCIAL PLANNERS EQUITY CORPORATION
March 3, 1985 - August 11, 1986
BAIKIE & ALCANTARA INC.
May 25, 1984 - February 20, 1985
MORGAN STANLEY DW INC.
July 22, 1983 - March 21, 1985
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
December 20, 1979 - March 4, 1983
SECURITIES MANAGEMENT & RESEARCH, INC.
June 11, 1974 - December 16, 1981
AMERICAN GENERAL EQUITY SERVICES CORPORATION
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
Series 1
Date: 6/7/1974
Registered Representative ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
