Scott A. Brown
Professional summary
Scott A Brown, who also goes by Scott Adam Brown, Scott Brown, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Los Angeles, California.
Scott is registered as a RR (Registered Representative) and started their career in finance in 2003. Scott has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Scott A Brown's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 30, 2026 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 333 S. Grand Avenue 18th Floor, Los Angeles, CA 90071May 2, 2024 - March 2, 2026
PRINCIPAL ASSET MANAGEMENT
December 4, 2023 - March 2, 2026
PRINCIPAL FUNDS DISTRIBUTOR, INC.
September 7, 2023 - October 27, 2023
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
January 12, 2022 - August 21, 2023
TRANSAMERICA CAPITAL, LLC
November 3, 2014 - July 28, 2021
COREBRIDGE CAPITAL SERVICES, INC.
February 28, 2013 - November 3, 2014
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
November 5, 2009 - February 21, 2013
GUARDIAN INVESTOR SERVICES LLC
September 30, 2004 - October 20, 2009
ALLIANCEBERNSTEIN INVESTMENTS, INC.
October 24, 2003 - September 17, 2004
TOWER SQUARE SECURITIES, INC.
March 4, 2003 - October 28, 2003
NEW ENGLAND SECURITIES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/30/2026)
(3/30/2026)
(3/30/2026)
Exams
FINRA
Current Firm
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
Red Flags
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