JB
Jon-paul A. Brown
Some features on this profile are disabled
CRD#: 5100387
JB
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.
Jon-paul Adam Brown, who also goes by John A Brown, Jon-paul Brown, was a registered financial professional .
Jon-paul is a previously registered financial professional and started their career in finance in 2006. Jon-paul had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
John A Brown | Jon-Paul Brown
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.
1) 04/12/2023. BalancePoint Financial. THREE CITY PLACE DR, STE 590, CREVE COEUR, MO 63141. FINANCIAL ADVISORY PRACTICE. WEALTH ADVISOR-PLACE FIXED INSURANCE PRODUCTS SUCH AS TERM INSURANCE, DISABILITY INSURANCE, AND LONG TERM CARE INSURANCE. 240 HRS/MO; 140 DURING TRADING HRS. 2) 11/29/2017. RFG ADVISORY. THREE CITY PLACE DR, STE 590, CREVE COEUR, MO 63141. ADVISORY ACTIVITIES. IAR/ADMIN SUPPORT TO STEVE WEDEL. 3) BOYS AND GIRLS CLUB OF ST CHARLES COUNTY - RESOURCE DEVELOPMENT COMMITTEE. 1211 LINDENWOOD AVE, ST CHARLES, MO 63301. THE RESOUCE DEVELOPMENT COMMITTEE IS RESPONSIBLE FOR PLANNING AND LEADING THE ORGANIZATION'S ANNUAL CAMPAIGN. HELP ORGANIZE AND PLAN VARIOUS FUNDRAISING CAMPAIGNS AND EVENTS. 2 HRS/MO; 0 DURING TRADING HRS. 4) BOYS AND GIRLS CLUB OF ST CHARLES COUNTY SPORTING CLAY COMMITTEE. 1211 LINDENWOOD AVE, ST CHARLES, MO 63301. HOLD AN ANNUAL SPORTING CLAY SHOOTING EVENT TO RAISE FUNDS FOR THE BOYS AND GIRLS CLUB OF ST CHARLES COUNTY. PLAN, ORGANIZE, SOLICIT SPONSORS, AND RUN THE ANNUAL SPORTING CLAY FUNDRAISING EVEN. 2 HRS/MO; 0 DURING TRADING HRS. 5) BOYS AND GIRLS CLUB OF ST CHARLES COUNTY BOARD OF DIRECTORS. 1211 LINDENWOOD AVE, ST CHARLES, MO 63301. THE BOARD OF DIRECTORS SET POLICY AND MAINTAINS STABILITY BY OVERSEEING FINANCES, OPERATIONS, RESOURCE DEVELOPMENT, AND PUBLIC RELATIONS. ATTEND BOARD MEETINGS, SERVE ON AT LEAST 1 ADDITIONAL COMMITTEE, AND PARTICIPATE IN FUNDRAISING ACTIVITIES. 4 HRS/MO; 4 DURING TRADING HRS. 6) NEXT LEVEL GOLF ACADEMY. 140 LONG RD, SUITE 110, CHESTERFIELD, MO 63005. A JUNIOR GOLF INSTRUCTIONAL PROGRAM FOR COMPETITIVE JUNIOR GOLFERS. HEARD OF OPERATOINS. MANAGE PRATCIE SCHEDULES, MARKETING, TOURNAMENT SCHEDULES, AND GENERAL OPERATIONS OF THE PROGRAM. 50 HRS/MO; 20 DURING TRADING HRS. NOT INVESTMENT RELATED.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
June 4, 2018 - April 1, 2025
PRIVATE CLIENT SERVICES, LLC
BD
CRD#: 120222
Creve Coeur, MO
Past
December 4, 2017 - March 31, 2025
RFG ADVISORY, LLC
RIA
CRD#: 158401
Creve Coeur, MO
Past
November 6, 2017 - June 8, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
CREVE COEUR, MO
Past
April 27, 2017 - September 18, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
CREVE COEUR, MO
Past
January 21, 2015 - April 28, 2017
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
ST LOUIS, MO
Past
January 21, 2015 - April 28, 2017
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
ST LOUIS, MO
Past
June 11, 2010 - January 15, 2015
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
ST. LOUIS, MO
Past
October 15, 2008 - January 15, 2015
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
September 17, 2007 - January 2, 2008
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
CRESTWOOD, MO
Past
October 19, 2006 - October 3, 2007
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
ST LOUIS, MO
Past
April 18, 2006 - June 1, 2006
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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".
PC
PRIVATE CLIENT SERVICES, LLC
AFFIANCE FINANCIAL | WEALTHHYVE ADVISORS | US PLANNING GROUP | SILVERLEAF WEALTH ADVISORY | PRIVATE CLIENT SERVICES, LLC | PCS ADVISORS | MCGILL FINANCIAL ENSEMBLE | MARION INVESTMENT ADVISORS | LINDLE HENNESSEY GROUP | KFG PRIVATE CLIENT SERVICES, LLC | KENTUCKY FINANCIAL GROUP | J&G FINANCIAL | IMPACT WEALTH GROUP | IARANN WEALTH | HERITAGE WEALTH GROUP | HAFELE INVESTMENTS | FIORI FINANCIAL | FINANCIAL CONSULTANTS GROUP | EVERGREEN STRATEGIC WEALTH | ENTHEOS FINANCIAL | DUNCAN AND HARDIN FINANCIAL | DUGAN FINANCIAL SERVICES | BURKE FINANCIAL SERVICES | BRIGHTLINE FINANCIAL | BLUE OCEAN GLOBAL WEALTH
CRD#: 120222 / SEC#: 801-71475, 8-68183
RIA
Registered Investment Advisory firm - SEC (5/25/2010 Approved)Delaware
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)Florida
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)Georgia
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)Indiana
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)Kentucky
Registered Investment Advisory firm - SEC (6/4/2010 Terminated)Mississippi
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)New York
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)North Dakota
Registered Investment Advisory firm - SEC (7/5/2018 Approved)Ohio
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)Tennessee
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)Texas
Registered Investment Advisory firm - SEC (12/9/2011 Terminated)Virginia
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
PC
PRIVATE CLIENT SERVICES, LLC
AFFIANCE FINANCIAL | WEALTHHYVE ADVISORS | US PLANNING GROUP | SILVERLEAF WEALTH ADVISORY | PRIVATE CLIENT SERVICES, LLC | PCS ADVISORS | MCGILL FINANCIAL ENSEMBLE | MARION INVESTMENT ADVISORS | LINDLE HENNESSEY GROUP | KFG PRIVATE CLIENT SERVICES, LLC | KENTUCKY FINANCIAL GROUP | J&G FINANCIAL | IMPACT WEALTH GROUP | IARANN WEALTH | HERITAGE WEALTH GROUP | HAFELE INVESTMENTS | FIORI FINANCIAL | FINANCIAL CONSULTANTS GROUP | EVERGREEN STRATEGIC WEALTH | ENTHEOS FINANCIAL | DUNCAN AND HARDIN FINANCIAL | DUGAN FINANCIAL SERVICES | BURKE FINANCIAL SERVICES | BRIGHTLINE FINANCIAL | BLUE OCEAN GLOBAL WEALTH
CRD#: 120222 / SEC#: 801-71475, 8-68183
RIA
Registered Investment Advisory firm - SEC (5/25/2010 Approved)Delaware
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)Florida
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)Georgia
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)Indiana
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)Kentucky
Registered Investment Advisory firm - SEC (6/4/2010 Terminated)Mississippi
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)New York
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)North Dakota
Registered Investment Advisory firm - SEC (7/5/2018 Approved)Ohio
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)Tennessee
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)Texas
Registered Investment Advisory firm - SEC (12/9/2011 Terminated)Virginia
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
2225 Lexington Rd., Louisville, KY 40206
Mailing Address
2225 Lexington Rd., Louisville, KY 40206
Phone number
(502) 451-0600
Established
Kentucky since 02/05/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
60
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KFG ENTERPRISES, INC. | SHAREHOLDER | |
| PRIVATE CLIENT SERVICES EMP STOCK OWNERSHIP PLAN & TRUST | ESOP TRUST | |
| GRAHAM, TIMOTHY DALEY | PRESIDENT | 4461811 |
| IRONSIDE, JULIA MEYER | FINOP | 2441578 |
| MILLS, STEVEN RICHARD | CHIEF OPERATIONS OFFICER | 3133520 |
| SAMPSON, ERNEST AUBREY | MANAGING MEMBER, ESOP TRUSTEE | 2001651 |
| TAYLOR-JONES, JOHN PHILIP | CHIEF COMPLIANCE OFFICER | 2171620 |
| WESCOTT, MARY ELIZABETH | CHIEF ADMINISTRATION OFFICER | 4404797 |
Regulatory assets under management
| Total Number of Accounts | 3,271 |
| AUM (Assets Under Management) | $ 1,051,273,980 |
Disclosures
| Regulatory Event | 1 |
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.
