Scott A. Brown
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Scott A Brown, who also goes by Scott Adam Brown, Scott Brown, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 2003. Scott had worked at 10 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)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 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
Primary Firm SEC Registration
PRINCIPAL ASSET MANAGEMENT
CRD#: 109002 / SEC#: 801-55959
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PRINCIPAL ASSET MANAGEMENT
CRD#: 109002 / SEC#: 801-55959
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7,399 |
| AUM (Assets Under Management) | $ 364,035,359,901 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/28/2023 |
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.
