Samuel E. Brownell

STRATUS CAPITAL MANAGEMENT

Kensington, MD

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CRD#: 5219809

Professional summary

Samuel Emerson Brownell is a registered financial advisor currently at STRATUS CAPITAL MANAGEMENT, LLC located in Kensington, Maryland.

Samuel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Samuel has worked at 4 firms and has passed the Series 66, Series 86, Series 87, Series 55 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.

(1) STRATUS WEALTH ADVISORS, LLC / NOT INVESTMENT-RELATED / ADDRESS: 9615 KINGSTON RD, KENSINGTON, MD 20895 / NATURE: HOLDING COMPANY / TITLE: MANAGING DIRECTOR / START DATE: 12/2018 / HRS PER MONTH: 2-3 / HRS DURING TRADING HOURS: LESS THAN 1 / DUTIES: THIS IS THE HOLDING COMPANY FOR THE THREE OPERATING ENTITIES (SCM, SLP, AND SV) SO WORK PRIMARILY INVOLVES BOOKKEEPING (2) STRATUS LEGACY PLANNING, LLC / NOT INVESTMENT-RELATED / ADDRESS: 9615 KINGSTON RD, KENSINGTON, MD 20895 / TITLE: MANAGING DIRECTOR / START DATE: 12/2018 / HRS PER MONTH: 45-60 / HRS DURING TRADING HRS: 1-2 / DUTIES: SUCCESSION PLANNING WORK FOR INDEPENDENT BUSINESS OWNERS (3) STRATUS VALUATION, LLC / NOT INVESTMENT-RELATED / ADDRESS: 9615 KINGSTON RD, KENSINGTON, MD 20895 / TITLE: MANAGING DIRECTOR / START DATE: 12/2018 / HRS PER MONTH: 45-60 / HRS DURING TRADING HRS: 1-2 / DUTIES: VALUATION ENGAGEMENTS FOR INDEPENDENT BUSINESS OWNERS FOR SUCCESSION PLANNING, GIFT TAX, AND ESTATE TAX (4) LAKE AVENUE SOUTH, LLC / NOT INVESTMENT-RELATED / ADDRESS: 9615 KINGSTON RD, KENSINGTON, MD 20895 / TITLE: MANAGER / STARTE DATE: 10/2015 / HRS PER MONTH: 4-6 / HRS DURING TRADING HRS: 0-1 / DUTIES: MANAGEMENT OF A FAMILY LLC

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samuel Emerson Brownell's 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

January 3, 2022 - Present

STRATUS CAPITAL MANAGEMENT, LLC

RIA

CRD#: 169038

Kensington, MD

Past

October 17, 2013 - December 31, 2015

STRATUS CAPITAL MANAGEMENT, LLC

RIA

CRD#: 169038

SILVER SPRING, MD

Past

September 6, 2011 - April 20, 2012

B. RILEY WEALTH MANAGEMENT

CRD#: 2543

SAN FRANCISCO, CA

Past

May 25, 2010 - August 2, 2010

CITIZENS JMP SECURITIES, LLC

CRD#: 22208

SAN FRANCISCO, CA

Past

September 18, 2007 - August 15, 2008

CITIZENS JMP SECURITIES, LLC

CRD#: 22208

SAN FRANCISCO, CA

Past

November 7, 2006 - December 7, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

GAITHERSBURG, MD

Past

October 25, 2006 - December 7, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

GAITHERSBURG, MD

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

Maryland
(1/3/2022)

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: 10/15/2013

Uniform Combined State Law Examination

General Industry/Product Exam

Series 86

Date: 1/17/2012

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 9/28/2011

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 55

Date: 10/4/2007

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 10/24/2006

General Securities Representative Examination

Current Firm

STRATUS CAPITAL MANAGEMENT, LLC

CRD#: 169038 / SEC#:

District of Columbia

Registered Investment Advisory firm - (12/31/2015 Terminated)

Maryland

Registered Investment Advisory firm - (7/20/2015 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Kensington, MD

Mailing Address

Phone number

(301) 873-4602

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	62
AUM (Assets Under Management)	$ 36,143,950

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.

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Samuel E. Brownell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samuel Emerson Brownell's CRS (Customer Relationship Summary).

Certified licenses

Experience

STRATUS CAPITAL MANAGEMENT, LLC

B. RILEY WEALTH MANAGEMENT

CITIZENS JMP SECURITIES, LLC

CITIZENS JMP SECURITIES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/15/2013

Series 86

Date: 1/17/2012

Series 87

Date: 9/28/2011

Series 55

Date: 10/4/2007

Series 7

Date: 10/24/2006

Current Firm

STRATUS CAPITAL MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

STRATUS CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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