Clinton R. Brown
TREK FINANCIAL
SAN CLEMENTE, CA 92672
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CRD#: 4367308
Professional summary
Clinton Ross Brown, CFP®, ChFC®, CLU® is a registered financial advisor currently at TREK FINANCIAL located in San Clemente, California.
Clinton is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Clinton has worked at 6 firms and has passed the Series 66, Series 63, 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.
1) PRESIDENT OF CLINTON BROWN FINANCIAL - LIFE & HEALTH INSURANCE BROKERAGE BUSINESS. 2) CSUSB GIFT AND ADVISORY COUNCIL, DUTIES: HOLDS 3 MEETINGS PER YEAR, START DATE: 2/1/2010. SPENT 1 HR PER MONTH. NO COMPENSATION. 3) TBA TEAM, LLC PARTNER SINCE 092019 NOT INVESTMENT RELATED
CRS (Client Relationship Summary) - RIA
Click below to view Clinton Ross 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®
Start date: 2012
Experience
Current
March 4, 2014 - Present
TREK FINANCIAL
Office #1: 209 Avenida Del Mar Suite 201 C, San Clemente, CA 92672RIA
CRD#: 109376
SAN CLEMENTE, CA
Past
August 26, 2004 - May 11, 2012
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
REDLANDS, CA
Past
July 21, 2004 - May 11, 2012
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
REDLANDS, CA
Past
November 10, 2003 - August 12, 2004
MONY SECURITIES CORPORATION
RIA
CRD#: 4386
PHOENIX, AZ
Past
March 20, 2002 - August 12, 2004
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
Past
July 24, 2001 - March 5, 2002
SUPERIOR FINANCIAL SERVICES,INC.
BD
CRD#: 104165
JACKSON, WI
Past
March 19, 2001 - April 6, 2001
WEST AMERICA SECURITIES CORP
BD
CRD#: 35035
LAS VEGAS, NV
Past
March 19, 2001 - July 19, 2001
HERITAGE WEST SECURITIES, INC.
BD
CRD#: 30718
SCOTTSDALE, AZ
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".
TF
TREK FINANCIAL
BAUER & ASSOCIATES, INC. | WITTROCK FINANCIAL GROUP | UTAH SMALL BUSINESS SOLUTIONS | TREK FINANCIAL, LLC | TREK FINANCIAL | STRATEGIC FINANCIAL SERVICES | STRATEGIC BENEFIT SOLUTIONS | STATERA WEALTH MANAGEMENT | PRISM FINANCIAL CONCEPTS | OMNIAVELIS | MANWARING WEALTH MANAGEMENT | INNOVATIVE RETIREMENT PLANNERS, INC. | EMPOWERED FINANCIAL MANAGEMENT | DETRAY INVESTMENT GROUP | DELMER HYDE FINANCIAL GROUP | CLINTON BROWN FINANCIAL | BULWARK CAPITAL MANAGEMENT | BLUELINE FINANCIAL PLANNING | BCJ CAPITAL MANAGEMENT, LLC | BCJ CAPITAL MANAGEMENT | BAUER CAPTAIN & JOHNSON, INC. | BAUER CAPTAIN & ASSOCIATES, INC.
CRD#: 109376 / SEC#: 801-58087
RIA
Registered Investment Advisory firm - (11/15/2000 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.Highlighted states indicate IAR registrations
IAR
California(3/4/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
TF
TREK FINANCIAL
BAUER & ASSOCIATES, INC. | WITTROCK FINANCIAL GROUP | UTAH SMALL BUSINESS SOLUTIONS | TREK FINANCIAL, LLC | TREK FINANCIAL | STRATEGIC FINANCIAL SERVICES | STRATEGIC BENEFIT SOLUTIONS | STATERA WEALTH MANAGEMENT | PRISM FINANCIAL CONCEPTS | OMNIAVELIS | MANWARING WEALTH MANAGEMENT | INNOVATIVE RETIREMENT PLANNERS, INC. | EMPOWERED FINANCIAL MANAGEMENT | DETRAY INVESTMENT GROUP | DELMER HYDE FINANCIAL GROUP | CLINTON BROWN FINANCIAL | BULWARK CAPITAL MANAGEMENT | BLUELINE FINANCIAL PLANNING | BCJ CAPITAL MANAGEMENT, LLC | BCJ CAPITAL MANAGEMENT | BAUER CAPTAIN & JOHNSON, INC. | BAUER CAPTAIN & ASSOCIATES, INC.
CRD#: 109376 / SEC#: 801-58087
RIA
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Contact information
Main Address
8355 East Hartford Drive Suite 105, Scottsdale, AZ 85255
Mailing Address
Phone number
(480) 483-1510
Established
Firm type
Fiscal year end
# of Employees
56
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 11,057 |
| AUM (Assets Under Management) | $ 2,492,708,552 |
Red Flags
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