Theodore J. Brown

CARY STREET PARTNERS

FREDERICKSBURG, VA 22401

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CRD#: 4307809

Professional summary

Theodore James Brown is a registered financial advisor currently at CARY STREET PARTNERS located in Fredericksburg, Virginia and CARY STREET PARTNERS ASSET MANAGEMENT located in Richmond, Virginia.

Theodore is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Theodore has worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 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 Theodore James 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

June 22, 2007 - Present

CARY STREET PARTNERS

Office #1: 250 Executive Center Parkway, Fredericksburg, VA 22401

RIA

CRD#: 128545

FREDERICKSBURG, VA

Current

August 31, 2017 - Present

CARY STREET PARTNERS ASSET MANAGEMENT

Office #1: 901 East Byrd Street Suite 1001, Richmond, VA 23219

RIA

CRD#: 289178

Richmond, VA

Current

June 22, 2007 - Present

CARY STREET PARTNERS

Office #1: 901 East Byrd Street Suite 1001, Richmond, VA 23219

CRD#: 128089

Richmond, VA

Past

August 7, 2006 - June 28, 2007

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

FREDERICKSBURG, VA

Past

July 13, 2006 - June 28, 2007

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

FREDERICKSBURG, VA

Past

September 29, 2005 - May 23, 2006

FORESIDE FUND SERVICES, LLC

CRD#: 46106

PORTLAND, ME

Past

May 30, 2002 - June 5, 2006

GOLDEN CAPITAL MANAGEMENT, LLC

RIA

CRD#: 110667

CHARLOTTE, NC

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".

CARY STREET PARTNERS

CARY STREET PARTNERS | WAYPOINT ADVISORS | VIKING WEALTH ADVISERS | CARY STREET PARTNERS INVESTMENT ADVISORY, LLC | CARY STREET PARTNERS INVESTMENT ADVISORY LLC

CRD#: 128545 / SEC#: 801-64239

RIA

Registered Investment Advisory firm - (8/12/2005 Approved)

Virginia

Registered Investment Advisory firm - (3/2/2007 Terminated)

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).

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.

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

Connecticut
(2/24/2025)

New York
(2/24/2025)

Virginia
(6/22/2007)

IAR

Virginia
(6/22/2007)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 10/7/2005

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/28/2002

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/4/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/28/2005

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CARY STREET PARTNERS

CARY STREET PARTNERS | WAYPOINT ADVISORS | VIKING WEALTH ADVISERS | CARY STREET PARTNERS INVESTMENT ADVISORY, LLC | CARY STREET PARTNERS INVESTMENT ADVISORY LLC

CRD#: 128545 / SEC#: 801-64239

RIA

Registered Investment Advisory firm - (8/12/2005 Approved)

Virginia

Registered Investment Advisory firm - (3/2/2007 Terminated)

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Contact information

Main Address

901 East Byrd Street Suite 1001, Richmond, VA 23219

Mailing Address

Phone number

(804) 340-8100

Established

Firm type

Fiscal year end

# of Employees

166

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CSPIA FORM ADV PART 2A FIRM BROCHURE DATED 06/27/2025 (6/27/2025)

CSPIA FORM ADV PART 2A WRAP BROCHURE DATED 06/27/2025 (6/27/2025)

Regulatory assets under management

Total Number of Accounts	13,853
AUM (Assets Under Management)	$ 8,263,891,736

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/22/2024	Cover Page	Report
07/25/2023	Cover Page	Report
01/27/2023	Cover Page	Report

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.

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Theodore J. Brown

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Theodore James Brown's CRS (Customer Relationship Summary).

Certified licenses

Experience

CARY STREET PARTNERS ASSET MANAGEMENT

CARY STREET PARTNERS

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

FORESIDE FUND SERVICES, LLC

GOLDEN CAPITAL MANAGEMENT, LLC

Primary Firm SEC Registration

CARY STREET PARTNERS

State Registrations and Notice Filings

Exams

Series 63

Date: 10/7/2005

Series 65

Date: 5/28/2002

SIE

Date: 10/1/2018

Series 7

Date: 8/4/2006

Series 6

Date: 9/28/2005

FINRA

Current Firm

CARY STREET PARTNERS

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CARY STREET PARTNERS

TRUST BUT VERIFY

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