Wesley S. Brown

COGENTBLUE

Knoxville, TN 37909

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CRD#: 5422855

Professional summary

Wesley Spaulding Brown, CFP® is a registered financial advisor currently at COGENTBLUE located in Knoxville, Tennessee.

Wesley is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Wesley 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.

TaxPro USA, Inc.; No; 1397 Main Street, Suite 2002, Sanford, ME 04073; Tax prep; Owner; Owner; January 2020; 5; 0; General business mgmt; Origin Offroad, LLC; No; 5809 W. Martin Mill Pike, Knoxville, TN 37920; Vehicle upfitting; Partner; Partner; May 2025; 20; 0; General business mgmt�;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wesley Spaulding 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®

CFP^®

Certified Financial Planner

Start date: 2013

Experience

Current

March 12, 2021 - Present

COGENTBLUE

Office #1: 4533 Papermill Drive Suite 105, Knoxville, TN 37909

RIA

CRD#: 312899

Knoxville, TN

Past

February 20, 2019 - November 3, 2021

WEALTHCARE ADVISORY PARTNERS LLC

RIA

CRD#: 171976

Knoxville, TN

Past

December 5, 2014 - January 16, 2019

RATHER & KITTRELL, INC.

RIA

CRD#: 114885

KNOXVILLE, TN

Past

August 20, 2009 - October 30, 2014

ASSET PLANNING CORPORATION

RIA

CRD#: 7890

KNOXVILLE, TN

Past

January 28, 2008 - March 4, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

PORTSMOUTH, NH

Past

January 28, 2008 - March 4, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

PORTSMOUTH, NH

Past

November 7, 2007 - December 19, 2007

WADDELL & REED

RIA

CRD#: 866

PORTSMOUTH, NH

Past

October 8, 2007 - December 19, 2007

WADDELL & REED

CRD#: 866

PORTSMOUTH, NH

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".

COGENTBLUE

COGENTBLUE | COGENTBLUE WEALTH ADVISORS, LLC

CRD#: 312899 / SEC#: 801-125745

RIA

Registered Investment Advisory firm - (5/26/2022 Approved)

Tennessee

Registered Investment Advisory firm - (7/7/2022 Terminated)

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).

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

Tennessee
(3/12/2021)

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: 10/30/2007

Uniform Combined State Law Examination

General Industry/Product Exam

Series 31

Date: 2/5/2008

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/6/2007

General Securities Representative Examination

Current Firm

COGENTBLUE

COGENTBLUE | COGENTBLUE WEALTH ADVISORS, LLC

CRD#: 312899 / SEC#: 801-125745

RIA

Registered Investment Advisory firm - (5/26/2022 Approved)

Tennessee

Registered Investment Advisory firm - (7/7/2022 Terminated)

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Contact information

Main Address

4533 Papermill Drive Suite 105, Knoxville, TN 37909

Mailing Address

Phone number

(865) 309-5892

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A & 2B (6/24/2025)

Regulatory assets under management

Total Number of Accounts	413
AUM (Assets Under Management)	$ 566,021,606

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/30/2025	Cover Page	Report
10/28/2024	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Wesley S. Brown

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wesley Spaulding Brown's CRS (Customer Relationship Summary).

Certified licenses

Experience

WEALTHCARE ADVISORY PARTNERS LLC

RATHER & KITTRELL, INC.

ASSET PLANNING CORPORATION

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

WADDELL & REED

WADDELL & REED

Primary Firm SEC Registration

COGENTBLUE

State Registrations and Notice Filings

Exams

Series 66

Date: 10/30/2007

Series 31

Date: 2/5/2008

Series 7

Date: 10/6/2007

Current Firm

COGENTBLUE

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

COGENTBLUE

TRUST BUT VERIFY

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