AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
RB

Robert B. Brown

HPS SECURITIES
New York, NY 10019
Some features on this profile are disabled
CRD#: 4285071
RB

Professional summary

Robert Barry Brown, who also goes by Rob Brown, is a registered financial professional currently at HPS SECURITIES, LLC located in New York, New York.

Robert is registered as a RR (Registered Representative) and started their career in finance in 2000. Robert has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rob Brown

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) - BD

Click below to view Robert Barry 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

December 22, 2023 - Present

HPS SECURITIES, LLC

Office #1: 40 West 57th Street 33rd Floor, New York, NY 10019
BD
CRD#: 319197
New York, NY
Past

August 3, 2020 - February 15, 2023

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
Raleigh, NC
Past

March 5, 2018 - January 2, 2020

HATTERAS CAPITAL DISTRIBUTORS, LLC

BD
CRD#: 143365
RALEIGH, NC
Past

November 1, 2007 - March 18, 2014

HATTERAS CAPITAL DISTRIBUTORS, LLC

BD
CRD#: 143365
RALEIGH, NC
Past

April 26, 2004 - October 4, 2007

CAPFINANCIAL SECURITIES, LLC.

BD
CRD#: 126291
RALEIGH, NC
Past

December 7, 2000 - December 3, 2003

HIGHLAND INFORMATION SERVICES, INC.

BD
CRD#: 25873
BIRMINGHAM, AL

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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(1/25/2024)
RR
Alaska
(2/8/2024)
RR
Arizona
(1/31/2024)
RR
Arkansas
(1/31/2024)
RR
California
(1/24/2024)
RR
Colorado
(1/26/2024)
RR
Connecticut
(1/24/2024)
RR
Delaware
(1/31/2024)
RR
District of Columbia
(1/26/2024)
RR
Florida
(1/24/2024)
RR
Georgia
(1/25/2024)
RR
Hawaii
(1/26/2024)
RR
Idaho
(1/25/2024)
RR
Illinois
(1/31/2024)
RR
Indiana
(1/29/2024)
RR
Iowa
(1/29/2024)
RR
Kansas
(1/26/2024)
RR
Kentucky
(1/30/2024)
RR
Louisiana
(1/29/2024)
RR
Maine
(1/26/2024)
RR
Maryland
(1/30/2024)
RR
Massachusetts
(1/23/2024)
RR
Michigan
(1/26/2024)
RR
Minnesota
(1/26/2024)
RR
Mississippi
(1/29/2024)
RR
Missouri
(1/24/2024)
RR
Montana
(2/8/2024)
RR
Nebraska
(1/23/2024)
RR
Nevada
(1/26/2024)
RR
New Hampshire
(1/29/2024)
RR
New Jersey
(1/25/2024)
RR
New Mexico
(1/26/2024)
RR
New York
(1/26/2024)
RR
North Carolina
(1/25/2024)
RR
North Dakota
(1/29/2024)
RR
Ohio
(1/24/2024)
RR
Oklahoma
(1/30/2024)
RR
Oregon
(1/26/2024)
RR
Pennsylvania
(1/24/2024)
RR
Puerto Rico
(1/31/2024)
RR
Rhode Island
(1/25/2024)
RR
South Carolina
(2/15/2024)
RR
South Dakota
(1/26/2024)
RR
Tennessee
(1/29/2024)
RR
Texas
(1/24/2024)
RR
Utah
(1/24/2024)
RR
Vermont
(1/26/2024)
RR
Virgin Islands
(1/31/2024)
RR
Virginia
(1/30/2024)
RR
Washington
(1/26/2024)
RR
West Virginia
(1/30/2024)
RR
Wisconsin
(1/24/2024)
RR
Wyoming
(1/29/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 2/2/2021
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 7
Date: 12/6/2000
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

HS
HPS SECURITIES, LLC
HPS SECURITIES, LLC

CRD#: 319197 / SEC#: , 8-70910

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
40 West 57th Street 33rd Floor, New York, NY 10019
Mailing Address
40 West 57th Street 33rd Floor, New York, NY 10019
Phone number
(212) 287-6767
Established
Delaware since 02/07/2022
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HPS GROUP HOLDINGS II, LLCSOLE MEMBER
CHRISTMAS, JOHN EDWARDPRESIDENT2772276
STAMOVA, ILINA SFINANCIAL AND OPERATIONS PRINCIPAL5500851
VIRGILIO, JOSEPH JAMESCHIEF COMPLIANCE OFFICER2041281

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

HPS SECURITIES, LLC

CRD#: 319197New York, NY 10019

TRUST BUT VERIFY

Monitor Robert Brown

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Brooklyn, NY
Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Diane E Finnerty
Diane FinnertyAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
New York, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics