Jennifer C. Brown

PROSPERITAS FINANCIAL

Northridge, CA

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CRD#: 4898981

Professional summary

Jennifer Caryn Brown is a registered financial advisor currently at PROSPERITAS FINANCIAL, LLC located in Northridge, California.

Jennifer is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Jennifer has worked at 6 firms and has passed the Series 66, Series 31 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.

THE INVESTOR CARD LLC YES THE BUSINESS IS INVESTMENT RELATED. OWNER AND CEO-NO COMMISSIONS RECEIVED, FINANCIAL AND TECHNOLOGY START UP.Spend 2-10 hours a month working on this business. Start date 8/26/2012. Licensed Insurance Agent; investment related: Yes; 17551 Stagg Street, Northridge, CA 91325; Life and Health Insurance. There is no company name. I am simply running my insurance business as a 1099. I use Broker's Alliance as my insurance broker. This is commission based.; Insurance Agent; Sell life insurance and annuity products.; 2019-05-01; Hours devoted to business during trading hours: 1; Hours devoted to business outside trading hours: 01; Percentage of total yearly compensation expected to be derived from the business: 5.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jennifer Caryn Brown'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

September 15, 2022 - Present

PROSPERITAS FINANCIAL, LLC

RIA

CRD#: 315768

Northridge, CA

Past

February 23, 2015 - September 20, 2022

BROWN INVESTMENT MANAGEMENT

RIA

CRD#: 174814

NORTHRIDGE, CA

Past

November 5, 2012 - November 17, 2015

GOTO FINANCIAL

RIA

CRD#: 155948

CALABASAS, CA

Past

October 23, 2009 - October 23, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

ENCINO, CA

Past

October 23, 2009 - October 23, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

ENCINO, CA

Past

April 14, 2008 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

LOS ANGELES, CA

Past

April 14, 2008 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

LOS ANGELES, CA

Past

July 27, 2006 - April 4, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CENTURY CITY, CA

Past

July 27, 2006 - April 4, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CENTURY CITY, CA

Past

April 1, 2005 - July 3, 2006

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

BEVERLY HILLS, CA

Past

March 2, 2005 - July 3, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

BEVERLY HILLS, 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".

PROSPERITAS FINANCIAL, LLC

BROWN ASSET MANAGEMENT | SHUPER WEALTH MANAGEMENT | PROSPERITAS FINANCIAL, LLC | BROWN INVESTMENT MANAGEMENT

CRD#: 315768 / SEC#: 801-122207

RIA

Registered Investment Advisory firm - (8/30/2021 Approved)

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
(9/15/2022)

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: 3/15/2005

Uniform Combined State Law Examination

General Industry/Product Exam

Series 31

Date: 3/18/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/1/2005

General Securities Representative Examination

Current Firm

PROSPERITAS FINANCIAL, LLC

BROWN ASSET MANAGEMENT | SHUPER WEALTH MANAGEMENT | PROSPERITAS FINANCIAL, LLC | BROWN INVESTMENT MANAGEMENT

CRD#: 315768 / SEC#: 801-122207

RIA

Registered Investment Advisory firm - (8/30/2021 Approved)

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Contact information

Main Address

25060 Avenue Stanford Suite 100, Valencia, CA 91355

Mailing Address

Phone number

(661) 255-9555

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV 2A FIRM BROCHURE (6/2/2025)

Regulatory assets under management

Total Number of Accounts	3,933
AUM (Assets Under Management)	$ 612,704,601

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Jennifer C. Brown

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jennifer Caryn Brown's CRS (Customer Relationship Summary).

Certified licenses

Experience

BROWN INVESTMENT MANAGEMENT

GOTO FINANCIAL

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

PROSPERITAS FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/15/2005

Series 31

Date: 3/18/2005

Series 7

Date: 3/1/2005

Current Firm

PROSPERITAS FINANCIAL, LLC

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROSPERITAS FINANCIAL, LLC

TRUST BUT VERIFY

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