Scott D. Browning

BROWNING CAPITAL MANAGEMENT LLC

Sisters, OR

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CRD#: 4640456

Professional summary

Scott Douglas Browning is a registered financial advisor currently at BROWNING CAPITAL MANAGEMENT LLC located in Sisters, Oregon.

Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Scott has worked at 3 firms and has passed the Series 66 and Series 7 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.

SCOTT D. BROWNING IS A LICENSED ATTORNEY IN CALIFORNIA. IN ADDITION, SCOTT D. BROWNING IS CURRENTLY AN INACTIVE ATTORNEY IN THE STATE OF OREGON. SCOTT D. BROWNING IS A LICENSED CERTIFIED PUBLIC ACCOUNTANT IN THE STATE OF CALIFORNIA. MR. BROWNING WILL NOT HAVE SIGNATORY AUTHORITY OVER CLIENT ACCOUNTS. MR. BROWNING DEDICATES LESS THAN 10% OF HIS TIME TOWARD LEGAL AND ACCOUNTING SERVICES. SCOTT D. BROWNING MAY RECOMMEND INSURANCE PRODUCTS AND MAY ALSO, AS AN INDEPENDENT INSURANCE AGENT, SELL THOSE RECOMMENDED INSURANCE PRODUCTS TO CLIENTS. MR. BROWNING DEDICATES APPROXIMATELY 10% OF HIS TIME TO INSURANCE SERVICES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Douglas Browning'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

October 23, 2013 - Present

BROWNING CAPITAL MANAGEMENT LLC

RIA

CRD#: 169271

Sisters, OR

Past

October 23, 2012 - December 2, 2013

PARTNERVEST ADVISORY SERVICES LLC

RIA

CRD#: 113621

IRVINE, CA

Past

March 21, 2003 - October 22, 2012

CITY NATIONAL SECURITIES, INC.

CRD#: 103705

IRVINE, CA

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".

BROWNING CAPITAL MANAGEMENT LLC

CRD#: 169271 / SEC#: 801-115034

RIA

Registered Investment Advisory firm - (4/22/2019 Approved)

California

Registered Investment Advisory firm - (5/31/2019 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.

Highlighted states indicate IAR registrations

IAR

California
(10/23/2013)

IAR

Oregon
(5/24/2019)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/29/2003

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 3/20/2003

General Securities Representative Examination

Current Firm

BROWNING CAPITAL MANAGEMENT LLC

CRD#: 169271 / SEC#: 801-115034

RIA

Registered Investment Advisory firm - (4/22/2019 Approved)

California

Registered Investment Advisory firm - (5/31/2019 Terminated)

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Contact information

Main Address

Sisters, OR

Mailing Address

Po Box 2027, Sisters, OR 97759

Phone number

(949) 439-7457

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BROWNING CAPITAL MANAGEMENT LLC ADV PART 2A - FEBRUARY 2025 (2/24/2025)

Regulatory assets under management

Total Number of Accounts	103
AUM (Assets Under Management)	$ 93,832,683

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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Scott D. Browning

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Douglas Browning's CRS (Customer Relationship Summary).

Certified licenses

Experience

BROWNING CAPITAL MANAGEMENT LLC

PARTNERVEST ADVISORY SERVICES LLC

CITY NATIONAL SECURITIES, INC.

Primary Firm SEC Registration

BROWNING CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/29/2003

Series 7

Date: 3/20/2003

Current Firm

BROWNING CAPITAL MANAGEMENT LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BROWNING CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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