Rebecca E. Brown

THIRD EYE ASSOCIATES, LTD

Red Hook, NY

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CRD#: 4189062

Professional summary

Rebecca Elisabeth Brown, CFP® is a registered financial advisor currently at THIRD EYE ASSOCIATES, LTD located in Red Hook, New York.

Rebecca is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Rebecca has worked at 10 firms and has passed the Series 63, SIE and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rebecca Elisabeth Brown'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

Start date: 2006

Experience

Current

November 19, 2025 - Present

THIRD EYE ASSOCIATES, LTD

RIA

CRD#: 149627

Red Hook, NY

Past

August 28, 2024 - September 25, 2025

STONEHAVEN, LLC

CRD#: 118913

NEW YORK, NY

Past

October 5, 2021 - September 7, 2022

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

RHINEBECK, NY

Past

July 1, 2010 - July 14, 2021

ALPS DISTRIBUTORS, INC.

CRD#: 16853

GREENWICH, CT

Past

January 4, 2006 - June 30, 2010

FORESIDE FUNDS DISTRIBUTORS LLC

CRD#: 31334

NEW YORK, NY

Past

June 6, 2005 - January 3, 2006

FORESIDE DISTRIBUTION SOLUTIONS, LLC

CRD#: 118787

PORTLAND, ME

Past

September 21, 2004 - April 27, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

November 14, 2003 - October 4, 2004

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

NASHVILLE, TN

Past

December 10, 2001 - October 22, 2003

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

ROCKVILLE, MD

Past

June 8, 2000 - December 10, 2001

MAIN STREET MANAGEMENT COMPANY

CRD#: 547

BOSTON, MA

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.

Highlighted states indicate IAR registrations

IAR

New York
(11/19/2025)

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.

Exams

State Security Law Exam

Series 63

Date: 6/21/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/7/2000

General Securities Representative Examination

Current Firm

THIRD EYE ASSOCIATES, LTD

THIRD EYE ASSOCIATES, LTD | THIRD EYE ASSOCIATES, LTD.

CRD#: 149627 / SEC#:

California

Registered Investment Advisory firm - (1/1/2022 Approved)

Connecticut

Registered Investment Advisory firm - (6/29/2022 Approved)

District of Columbia

Registered Investment Advisory firm - (6/26/2009 Approved)

Florida

Registered Investment Advisory firm - (10/3/2018 Approved)

Louisiana

Registered Investment Advisory firm - (8/17/2020 Approved)

Maryland

Registered Investment Advisory firm - (12/2/2022 Terminated)

New Jersey

Registered Investment Advisory firm - (12/12/2011 Approved)

New York

Registered Investment Advisory firm - (3/23/2009 Approved)

North Carolina

Registered Investment Advisory firm - (2/5/2025 Approved)

Pennsylvania

Registered Investment Advisory firm - (7/7/2022 Approved)

Texas

Registered Investment Advisory firm - (2/25/2015 Conditional Restricted)

Virginia

Registered Investment Advisory firm - (1/3/2012 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

Red Hook, NY

Mailing Address

Phone number

(845) 752-2216

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Rebecca E. Brown

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rebecca Elisabeth Brown's CRS (Customer Relationship Summary).

Certified licenses

Experience

STONEHAVEN, LLC

COMMONWEALTH FINANCIAL NETWORK

ALPS DISTRIBUTORS, INC.

FORESIDE FUNDS DISTRIBUTORS LLC

FORESIDE DISTRIBUTION SOLUTIONS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

SANFORD C. BERNSTEIN & CO., LLC

GROVE POINT INVESTMENTS, LLC

MAIN STREET MANAGEMENT COMPANY

State Registrations and Notice Filings

Exams

Series 63

Date: 6/21/2000

SIE

Date: 10/1/2018

Series 7

Date: 6/7/2000

Current Firm

THIRD EYE ASSOCIATES, LTD

Contact information

Documents

Red Flags

Company Information

THIRD EYE ASSOCIATES, LTD

TRUST BUT VERIFY

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