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SB

Stuart L. Brown

HAMPTON ROCK WEALTH MANAGEMENT
AUSTIN, TX 78735
Some features on this profile are disabled
CRD#: 4250877
SB

Professional summary

Stuart Laidlaw Brown is a registered financial advisor currently at HAMPTON ROCK WEALTH MANAGEMENT located in Austin, Texas and HAMPTONROCK PARTNERS located in Dallas, Texas.

Stuart is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Stuart has worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 31, Series 7 and Series 24 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 Stuart Laidlaw Brown's CRS (Customer Relationship Summary).
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®
None

Experience

Current

March 18, 2026 - Present

HAMPTON ROCK WEALTH MANAGEMENT

Office #1: 7500 Rialto Boulevard Building 1, Suite 122, Austin, TX 78735
RIA
CRD#: 331682
AUSTIN, TX
Current

April 28, 2022 - Present

HAMPTONROCK PARTNERS

Office #1: 100 Crescent Ct Ste 525, Dallas, TX 75201Office #2: 100 Crescent Ct Ste 525, Dallas, TX 75201
BD
CRD#: 306647
Dallas, TX
Past

July 15, 2024 - August 5, 2025

HAMPTON ROCK WEALTH MANAGEMENT

RIA
CRD#: 331682
DALLAS, TX
Past

May 31, 2019 - May 2, 2022

KAL CAPITAL MARKETS LLC

BD
CRD#: 291333
Dallas, TX
Past

September 15, 2017 - May 14, 2019

BV INVESTMENT PARTNERS, L.P.

RIA
CRD#: 159349
DALLAS, TX
Past

October 18, 2013 - May 9, 2016

ALTACCESS SECURITIES COMPANY, L.P.

BD
CRD#: 119441
DALLAS, TX
Past

September 17, 2010 - July 24, 2013

HILLTOP SECURITIES INC.

RIA
CRD#: 6220
DALLAS, TX
Past

July 28, 2010 - July 24, 2013

HILLTOP SECURITIES INC.

BD
CRD#: 6220
DALLAS, TX
Past

May 21, 2008 - May 19, 2010

BUTLER CAPITAL PARTNERS

BD
CRD#: 114242
NEW YORK, NY
Past

July 9, 2007 - June 9, 2008

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

December 13, 2005 - April 24, 2007

STEPHENS

BD
CRD#: 3496
LITTLE ROCK, AR
Past

August 28, 2001 - February 4, 2003

STEPHENS

RIA
CRD#: 3496
LITTLE ROCK, AR
Past

December 5, 2000 - February 4, 2003

STEPHENS

BD
CRD#: 3496
LITTLE ROCK, AR

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".
HR
HAMPTON ROCK WEALTH MANAGEMENT
HAMPTON ROCK WEALTH MANAGEMENT | HAMPTONROCK WEALTH MANAGEMENT | HAMPTONROCK WEALTH | HAMPTON ROCK WEALTH MANAGEMENT I, LLC

CRD#: 331682 / SEC#: 801-130575

RIA
Registered Investment Advisory firm - (7/11/2024 Approved)

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.
RR
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

RR
California
(5/19/2022)
RR
Delaware
(5/24/2022)
RR
Georgia
(6/16/2025)
RR
New York
(5/10/2022)
RR
South Carolina
(5/11/2022)
RR
Tennessee
(7/14/2023)
RR
Texas
(5/6/2022)
IAR
Texas
(3/18/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 6/5/2019
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 7/11/2001
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/9/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 8/4/2008
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 12/12/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/26/2020
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

HR
HAMPTON ROCK WEALTH MANAGEMENT
HAMPTON ROCK WEALTH MANAGEMENT | HAMPTONROCK WEALTH MANAGEMENT | HAMPTONROCK WEALTH | HAMPTON ROCK WEALTH MANAGEMENT I, LLC

CRD#: 331682 / SEC#: 801-130575

RIA
Registered Investment Advisory firm - (7/11/2024 Approved)
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Contact information

Main Address
7500 Rialto Boulevard Building 1, Suite 122, Austin, TX 78735
Mailing Address
Phone number
(512) 256-9272
Established
Firm type
Fiscal year end
# of Employees
5

SEC notice filing (2 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

HAMPTON ROCK PART 2A (3/14/2026)

Regulatory assets under management

Total Number of Accounts161
AUM (Assets Under Management)$ 192,369,158

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

HAMPTON ROCK WEALTH MANAGEMENT

CRD#: 331682Austin, TX 78735

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