AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Why AdvisorCheck
BB

Benjamin Thomas Brown

STONEX FINANCIAL
Park City, UT
·CRD# 4341263·25 years experience

Professional Summary

Benjamin Thomas Brown, who also goes by Ben Brown, is a registered financial advisor currently at STONEX FINANCIAL INC. located in Park City, Utah. Benjamin is registered as a RR (Registered Representative) and started their career in finance in 2001. Benjamin has worked at 7 firms and has passed the Series 63, Series 57TO, Series 62, Series 99TO, SIE, Series 3, Series 55, Series 7, Series 4, Series 30 and Series 24 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Ben Brown

Blog Corner

Similar Advisors

Neal Jones Hansen
Neal Jones Hansen

NET WORTH ADVISORY GROUP, LLC

SANDY, UT · CRD#
View profile

Videos & Posts

This advisor has not added any videos or posts yet.

Similar Advisors

Neal Jones Hansen
Neal Jones Hansen

NET WORTH ADVISORY GROUP, LLC

SANDY, UT · CRD#

Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

Similar Advisors

Neal Jones Hansen
Neal Jones Hansen

NET WORTH ADVISORY GROUP, LLC

SANDY, UT · CRD#

Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

Similar Advisors

Neal Jones Hansen
Neal Jones Hansen

NET WORTH ADVISORY GROUP, LLC

SANDY, UT · CRD#

Years of Experience

25 years in the financial services industry

Current & Past Employments

STONEX FINANCIAL INC.·CRD# 45993
BD
1441 W Ute Blvd Suite 280, Park City, UT 84098
April 3, 2019 - Present
STONEX OUTSOURCED SERVICES LLC·CRD# 30773
BD
Park City, UT
September 7, 2019 - December 31, 2024
COWEN PRIME SERVICES LLC·CRD# 153397
BD
San Francisco, CA
September 14, 2017 - March 29, 2019
COWEN EXECUTION SERVICES LLC·CRD# 35693
BD
San Francisco, CA
July 23, 2014 - December 31, 2017
CONVERGEX PRIME SERVICES LLC·CRD# 140185
BD
San Francisco, CA
August 23, 2007 - September 2, 2014
AVIOR CAPITAL, LLC·CRD# 44732
BD
San Diego, CA
April 10, 2003 - June 24, 2005
J.P. MORGAN SECURITIES INC.·CRD# 18718
BD
New York, NY
April 20, 2001 - October 24, 2002

Similar Advisors

Neal Jones Hansen
Neal Jones Hansen

NET WORTH ADVISORY GROUP, LLC

SANDY, UT · CRD#

Current Firm

SF
STONEX FINANCIAL INC.

INTERNATIONAL TRADER ASSOCIATION, INC. | STONEX FINANCIAL INC. | STONEX | INTLTRADER.COM, INC. | INTL TRADING, INC. | INTL FCSTONE SECURITIES INC. | INTL FCSTONE FINANCIAL INC.

CRD#: 45993 / SEC#: 8-51269
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)

Contact Information

Main Address

329 Park Avenue North Suite 350, Winter Park, FL 32789

Mailing Address

329 Park Avenue North Suite 350, Winter Park, FL 32789

Phone Number

(407) 741-5300

Established

Florida since 05/29/1998

Firm Type

Corporation

Fiscal Year End

September

Firm Size

Large

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
STONEX GROUP INC.OWNER—
DAVISON, STUART ANDREWDIRECTOR; CHIEF OPERATING OFFICER7824576
DICIOLLO, ANTHONY JOSEPHDIRECTOR, CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD4976402
DUNAWAY, WILLIAM JOHNDIRECTOR, CHIEF FINANCIAL OFFICER6505923
LYON, CHARLES MARTINDIRECTOR, PRESIDENT4000852
MAURER, MARK LDIRECTOR, CHIEF RISK OFFICER4234406
PORZIO, JOSEPH JOHNFINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER1319702
SHEA, KEVINSECRETARY8263627
SMITH, PHILIP ANDREWDIRECTOR4999097
SZEKELY, GIGI KLARACHIEF COMPLIANCE OFFICER - BD DIVISION2530826

Disclosures

Regulatory Event

76

Similar Advisors

Neal Jones Hansen
Neal Jones Hansen

NET WORTH ADVISORY GROUP, LLC

SANDY, UT · CRD#

Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

Similar Advisors

Neal Jones Hansen
Neal Jones Hansen

NET WORTH ADVISORY GROUP, LLC

SANDY, UT · CRD#

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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Alabama
(10/25/2019)
RR
Arizona
(8/9/2019)
RR
California
(4/3/2019)
RR
Colorado
(4/3/2019)
RR
Connecticut
(8/9/2019)
RR
Florida
(4/3/2019)
RR
Georgia
(10/25/2019)
RR
Idaho
(2/25/2022)
RR
Illinois
(4/3/2019)
RR
Kentucky
(10/25/2019)
RR
Louisiana
(8/17/2022)
RR
Maryland
(12/3/2020)
RR
Massachusetts
(4/3/2019)
RR
Michigan
(8/9/2019)
RR
Mississippi
(10/25/2019)
RR
Missouri
(4/3/2019)
RR
Nevada
(4/3/2019)
RR
New Jersey
(10/25/2019)
RR
New York
(4/3/2019)
RR
North Carolina
(12/2/2020)
RR
Ohio
(5/18/2022)
RR
Oregon
(4/3/2019)
RR
Pennsylvania
(10/25/2019)
RR
Puerto Rico
(9/13/2022)
RR
South Carolina
(10/25/2019)
RR
South Dakota
(10/25/2019)
RR
Texas
(10/25/2019)
RR
Utah
(4/3/2019)
RR
Virginia
(10/25/2019)
RR
Washington
(4/3/2019)
RR
Wisconsin
(3/2/2020)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed May 2001About the Series 63 exam

Series 57TO — Securities Trader Exam

Passed Jan 2023About the Series 57TO exam

Series 62 — Corporate Securities Limited Representative Examination

Passed Jan 2023

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 3 — National Commodity Futures Examination

Passed Apr 2013About the Series 3 exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Jun 2001

Series 7 — General Securities Representative Examination

Passed Apr 2001About the Series 7 exam

Series 4 — Registered Options Principal Examination

Passed Nov 2020About the Series 4 exam

Series 30 — NFA Branch Manager Examination

Passed Aug 2019About the Series 30 exam

Series 24 — General Securities Principal Examination

Passed Aug 2007About the Series 24 exam
FINRA
SRO Registrations
Nasdaq Stock Market
SRO Registrations

Similar Advisors

Neal Jones Hansen
Neal Jones Hansen

NET WORTH ADVISORY GROUP, LLC

SANDY, UT · CRD#

CRS (Client Relationship Summary) - BD

Click below to view Benjamin Thomas Brown's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Similar Advisors

Neal Jones Hansen
Neal Jones Hansen

NET WORTH ADVISORY GROUP, LLC

SANDY, UT · CRD#
BB
Follow Benjamin
Get alerted to job moves, licensing changes, and new disclosures
Free — no card required