Elizabeth E. 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.
Elizabeth Eileen Brown, AIF®, CFP®, who also goes by Elizabeth E Brown, Elizabeth E. Brown, Elizabeth E. Mcmahon, Elizabeth Eileen Mcmahon, was a registered financial professional .
Elizabeth is a previously registered financial professional and started their career in finance in 2003. Elizabeth had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 2015 - March 7, 2023
RAYMOND JAMES & ASSOCIATES, INC.
April 27, 2015 - March 7, 2023
RAYMOND JAMES & ASSOCIATES, INC.
January 16, 2013 - April 23, 2015
TRANSAMERICA INVESTORS SECURITIES, LLC
July 30, 2010 - January 15, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 29, 2010 - January 15, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 10, 2009 - July 29, 2010
BB&T INVESTMENT SERVICES, INC.
January 28, 2009 - July 29, 2010
BB&T INVESTMENT SERVICES, INC.
December 21, 2007 - December 31, 2008
BB&T INVESTMENT SERVICES, INC.
December 17, 2007 - December 31, 2008
BB&T INVESTMENT SERVICES, INC.
September 24, 2003 - October 30, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 3, 2003 - October 30, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
