Terri L. 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.
Terri Lynn Brown, who also goes by Terri L Brown, was a registered financial professional .
Terri is a previously registered financial professional and started their career in finance in 2006. Terri had worked at 11 firms and has passed the Series 66, Series 63, 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
March 3, 2021 - December 17, 2021
AVANTAX ADVISORY SERVICES
March 3, 2021 - December 17, 2021
AVANTAX INVESTMENT SERVICES, INC.
July 23, 2019 - March 2, 2021
WORLD EQUITY GROUP, INC.
May 14, 2019 - March 2, 2021
BROOKSTONE WEALTH ADVISORS, LLC
May 14, 2019 - March 2, 2021
BROOKSTONE ASSET MANAGEMENT, LLC
April 26, 2019 - August 7, 2019
TAYLOR CAPITAL MANAGEMENT INC.
March 29, 2017 - January 17, 2018
CUSO FINANCIAL SERVICES, L.P.
March 29, 2017 - January 17, 2018
CUSO FINANCIAL SERVICES, L.P.
January 13, 2016 - March 27, 2017
MONEY CONCEPTS CAPITAL CORP
January 13, 2016 - March 27, 2017
MONEY CONCEPTS CAPITAL CORP
October 2, 2013 - December 31, 2015
SUMMIT FINANCIAL GROUP INC
October 2, 2013 - December 31, 2015
SUMMIT BROKERAGE SERVICES, INC.
August 8, 2007 - July 8, 2013
EDWARD JONES
August 15, 2006 - July 8, 2013
EDWARD JONES
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
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
