Steven D. 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.
Steven Dean Brown, who also goes by Steve Brown, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2004. Steven had worked at 2 firms and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2023 - March 31, 2025
ROCKY MOUNTAIN PRIVATE WEALTH MANAGEMENT, L.L.C.
January 1, 2005 - March 16, 2012
FRONTIER WEALTH MANAGEMENT, LLC
June 15, 2004 - December 2, 2022
ROCKY MOUNTAIN PRIVATE WEALTH MANAGEMENT, L.L.C.
Primary Firm SEC Registration
ROCKY MOUNTAIN PRIVATE WEALTH MANAGEMENT, L.L.C.
CRD#: 127140 / SEC#: 801-126829
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
ROCKY MOUNTAIN PRIVATE WEALTH MANAGEMENT, L.L.C.
CRD#: 127140 / SEC#: 801-126829
Contact information
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7 |
| AUM (Assets Under Management) | $ 64,132,914 |
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.
