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Frank D. Brown

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CRD#: 5417241
FB

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.

Frank Daniel Brown was a registered financial professional .

Frank is a previously registered financial professional and started their career in finance in 2008. Frank had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) BROWNFISH INVESTMENTS, LLC; MOBILE, AL; NOT INVESTMENT RELATED; MANAGER; 100% OWNER; 3/04; 1 HOUR/MONTH; NO HOURS DURING TRADING; REAL ESTATE OWNERSHIP; 1323 DAUPHIN ISLAND PKWY, CODEN, AZ 36523. 2)DAUPHIN ST. INVESTMENTS, LLC; 25% OWNER, INVESTMENT RELATED - INVESTMENT GROUP; NO DUTIES. 3)LIFE INSURANCE TRUST; TRUSTEE; NOT INVESTMENT RELATED; RESPONSIBLE FOR PAYING PREMIUMS ANNUALLY WHEN RECEIVED FROM GRANTOR. 4) MIDTOWN INVESTMENT LLC, MOBILE, AL, INVESTMENT RELATED, MEMBER, 1/12 OWNERSHIP, OCTOBER 2009, 0 HR MO, 0 HR DAY, INVESTMENT GROUP 5) WILKINS MILLER WEALTH MGT, LLC., 41 W I-65 SERVICE RD N STE 400, MOBILE, AL 36608, INVESTMENT RELATED, MEMBER, STARTED 1/2015, 20 HR/MO, 20 HR DURING TRADING; MONITOR CLIENT ACCTS, MEMBER INVESTMENT COMMITTE; 6)RENTAL PROPERTY; MOBILE, AL; NOT INVESTMENT RELATED; 50% OWNER; NO HOURS DEVOTED; 5608 COTTAGE HILL RD $229, MOBILE, AL 36609 AND 1601 BIENVILLE BLVD, DAUPHIN ISLAND, AL 36528. 7) WILKINS MILLER HIERONYMOUS, LLC; PARTNER/CPA; 230 HRS/ MONTH; NOT INVESTMENT RELATED; ACCOUNTANT/TAX ADVISOR. 8) RENTAL PROPERTY. 17 HIGHLANDS WALK, HIGHLANDS, NC 28741. NOT INVESTMENT RELATED. 50% OWNER. 09/2013. 0 HRS/MO. NO ACTIVE MANAGEMENT OF PROPERTY. 9)100 ACRES SCATTERED PARCELS, TIMBER PROPERTY; NOT INVESTMENT RELATED; CRENSHAW COUNTY, AL; TIMBER PROPERTY; OWNER; STARTED 1989; 1 HR PER MONTH, NONE DURING TRADING; CONSULT WITH TIMBER PROPERTY MANAGER ON APPROPRIATE TIME TO CUT EVERY FEW YEARS; 10) HOLIDAY ISLE CONDO ASSOCIATION, 1601 BIENVILLE BLVD, DAUPHIN ISLAND, AL 36528. NOT INVESTMENT RELATED, BOARD MEMBER OF HOME OWNERS ASSOCIATION, 5/2015-PRESENT. 4 HRS/MONTH, 0 HRS/MONTH DURING TRADING, ATTEND BOARD MEETINGS, COMMUNICATE TO OWNERS AND MANAGEMENT, VOTING MEMBER. 11) EXECUTOR OF THE ESTATE OF KARLENE FERMER, 41 W. I-65 SERVICE RD N, STE 400, MOBILE, AL 36608. 6/2015-PRESENT. 4 HRS/MONTH, 0 HRS DURING TRADING, OVERSEE TRANSFER AND LIQUIDATION OF OUTSTANDING ASSETS, DISBURSE PROCEEDS TO BENEFICIARIES AND REQUEST ESTATE TO BE CLOSED.

Blog Corner

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®
None

Experience

Past

August 9, 2013 - June 7, 2016

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
MOBILE, AL
Past

December 3, 2012 - December 31, 2022

WILKINS MILLER WEALTH MANAGEMENT, LLC

RIA
CRD#: 162222
MOBILE, AL
Past

March 4, 2008 - December 3, 2012

1ST GLOBAL ADVISORS INC

RIA
CRD#: 111133
MOBILE, AL
Past

February 28, 2008 - December 3, 2012

1ST GLOBAL CAPITAL CORP.

BD
CRD#: 30349
MOBILE, AL

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
RR
IAR
Series 66
Date: 3/3/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/7/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/27/2008
General Securities Representative Examination

Current Firm

PK
PURSHE KAPLAN STERLING INVESTMENTS
PURSHE KAPLAN STERLING INVESTMENTS | SARATOGA 21ST, LTD. | PURSHE KAPLAN STERLING INVESTMENTS, INC.

CRD#: 35747 / SEC#: , 8-46844

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
80 State Street, Albany, NY 12207
Mailing Address
80 State Street, Albany, NY 12207
Phone number
(518) 436-3536
Established
New York since 12/16/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PKS HOLDINGS, LLCHOLDING CO.
BOHLEY, TRACEY LEACHIEF FINANCIAL OFFICER4826937
FLOUTON, KATHERINE MARIEPRESIDENT4405001
KVAM, PETER DAVIDCHIEF COMPLIANCE OFFICER4301918
MOTTA, CHRISTOPHER JOHNCOO2741133
PURCELL, JOHN PETERC.E.O.1664678

Disclosures

Regulatory Event11
Arbitration2

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.

Company Information

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

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