JB
Jesse J. Brown
MARINER INDEPENDENT
Houston, TX 77057
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CRD#: 5443279
JB
Professional summary
Jesse Joel Brown, CFP®, who also goes by Jesse Brown, is a registered financial advisor currently at MARINER INDEPENDENT located in Houston, Texas.
Jesse is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Jesse has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jesse 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.
Rolling Hills Advisors; investment-related; Houston, TX; offering investment advisory services through Mariner Platform Solutions; Registered Advisor; start date 1/2024; 160 hours/month during securities trading hours Insurance Sales; Investment Related; Houston, TX; selling fixed insurance products; Insurance Representative; start date 2/12/2025; 2 hours/month during securities trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Jesse Joel Brown'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®
CFP®
Start date: 2014
Experience
Current
January 30, 2024 - Present
MARINER INDEPENDENT
Office #1: 5718 Westheimer Road Suite 765, Houston, TX 77057RIA
CRD#: 305418
Houston, TX
Past
August 14, 2023 - January 30, 2024
SIGNATURE ESTATE SECURITIES, LLC
BD
CRD#: 18923
Los Angeles, CA
Past
November 2, 2018 - October 31, 2019
OSAIC WEALTH, INC.
RIA
CRD#: 23131
HOUSTON, TX
Past
November 2, 2018 - August 24, 2023
OSAIC WEALTH, INC.
BD
CRD#: 23131
HOUSTON, TX
Past
June 28, 2018 - January 30, 2024
SEIA
RIA
CRD#: 108163
Houston, TX
Past
September 30, 2014 - November 2, 2018
SIGNATOR INVESTORS, INC.
RIA
CRD#: 468
HOUSTON, TX
Past
September 26, 2014 - November 2, 2018
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
HOUSTON, TX
Past
May 6, 2013 - September 9, 2014
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
BOSTON, MA
Past
February 19, 2013 - September 8, 2014
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
BOSTON, MA
Past
May 16, 2012 - October 2, 2012
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Past
December 18, 2008 - April 23, 2012
EMPOWER FINANCIAL SERVICES, INC.
BD
CRD#: 13109
BOSTON, MA
Past
November 19, 2007 - November 14, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
SCARBOROUGH, ME
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".
MI
MARINER INDEPENDENT
ABUNDANT LIFE FINANCIAL | XTRAMILE FINANCIAL GROUP | XMC WEALTH MANAGEMENT | WEALTH WITH OPTIONS | VAIL CAPITAL MANAGEMENT | TOTAL WEALTH SERVICES | STRATEGIC PATH RETIREMENT | STERLING PRIVATE WEALTH | SIDEBAR ADVISORS | SEVEN MILE ADVISORY | ROLLING HILLS ADVISORS | REGENT PRIVATE WEALTH | RATIONAL WEALTH SOLUTIONS | PROMONTORY WEALTH | PRECISE WEALTH MANAGEMENT | PHALANX VFO, LLC | PAX FINANCIAL ADVISORS | PACE WEALTH ADVISORS LLC | OLDFIELD WEALTH PARTNERS | OCEAN PATH ADVISORS | OCEAN HEIGHTS ADVISORS | NELSON WEALTH MANAGEMENT, LLC | NARROW GATE WEALTH MANAGEMENT | MONARCH PRIVATE WEALTH GROUP | MAYS WEALTH MANAGEMENT GROUP | MAURO CAPITAL MANAGEMENT | MARINER PLATFORM SOLUTIONS, LLC | MARINER PLATFORM SOLUTIONS | MARINER INDEPENDENT | MARINER ADVISOR NETWORK | MARINER | LOGARUS WEALTH SOLUTIONS | LINDENBERG FINANCIAL PLANNING | LAKE LIFE FINANCIAL PLANNING | KONA FINANCIAL PLANNING | KINNEY MUNRO WEALTH ADVISORS | KADIMA WEALTH | JOOY WEALTH | INVESTTAX WEALTH ADVISERS | INTERSECT WEALTH ADVISORS | INFINITY WEALTH COMPANY | IMPERIO WEALTH ADVISORS | GROWING LEGACIES | FORTITUDE FINANCIAL PARTNERS | FOOTHILL WEALTH ADVISORS | EXIT 59 ADVISORY | ECLECTIC WEALTH MANAGEMENT | CONNECT WEALTH GROUP | CONFLUENCE WEALTH MANAGEMENT | CONFIDO ADVICE & INVESTMENTS | CARY FINANCIAL PLANNING | CARBON WEALTH ADVISORS | CAPLAN CAPITAL MANAGEMENT | CAMDEN INVESTMENT CO | BRANCH PARTNERS, LLC | ARCHIWEALTH | ADVICEPERIOD
CRD#: 305418 / SEC#: 801-117332
RIA
Registered Investment Advisory firm - (9/12/2019 Approved)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
Texas(1/30/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
MI
MARINER INDEPENDENT
ABUNDANT LIFE FINANCIAL | XTRAMILE FINANCIAL GROUP | XMC WEALTH MANAGEMENT | WEALTH WITH OPTIONS | VAIL CAPITAL MANAGEMENT | TOTAL WEALTH SERVICES | STRATEGIC PATH RETIREMENT | STERLING PRIVATE WEALTH | SIDEBAR ADVISORS | SEVEN MILE ADVISORY | ROLLING HILLS ADVISORS | REGENT PRIVATE WEALTH | RATIONAL WEALTH SOLUTIONS | PROMONTORY WEALTH | PRECISE WEALTH MANAGEMENT | PHALANX VFO, LLC | PAX FINANCIAL ADVISORS | PACE WEALTH ADVISORS LLC | OLDFIELD WEALTH PARTNERS | OCEAN PATH ADVISORS | OCEAN HEIGHTS ADVISORS | NELSON WEALTH MANAGEMENT, LLC | NARROW GATE WEALTH MANAGEMENT | MONARCH PRIVATE WEALTH GROUP | MAYS WEALTH MANAGEMENT GROUP | MAURO CAPITAL MANAGEMENT | MARINER PLATFORM SOLUTIONS, LLC | MARINER PLATFORM SOLUTIONS | MARINER INDEPENDENT | MARINER ADVISOR NETWORK | MARINER | LOGARUS WEALTH SOLUTIONS | LINDENBERG FINANCIAL PLANNING | LAKE LIFE FINANCIAL PLANNING | KONA FINANCIAL PLANNING | KINNEY MUNRO WEALTH ADVISORS | KADIMA WEALTH | JOOY WEALTH | INVESTTAX WEALTH ADVISERS | INTERSECT WEALTH ADVISORS | INFINITY WEALTH COMPANY | IMPERIO WEALTH ADVISORS | GROWING LEGACIES | FORTITUDE FINANCIAL PARTNERS | FOOTHILL WEALTH ADVISORS | EXIT 59 ADVISORY | ECLECTIC WEALTH MANAGEMENT | CONNECT WEALTH GROUP | CONFLUENCE WEALTH MANAGEMENT | CONFIDO ADVICE & INVESTMENTS | CARY FINANCIAL PLANNING | CARBON WEALTH ADVISORS | CAPLAN CAPITAL MANAGEMENT | CAMDEN INVESTMENT CO | BRANCH PARTNERS, LLC | ARCHIWEALTH | ADVICEPERIOD
CRD#: 305418 / SEC#: 801-117332
RIA
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Contact information
Main Address
5700 West 112th Street Suite 500, Overland Park, KS 66211
Mailing Address
Phone number
(650) 571-1934
Established
Firm type
Fiscal year end
# of Employees
150
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 10,412 |
| AUM (Assets Under Management) | $ 5,615,227,678 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2025 | ||
| 11/05/2024 | ||
| 12/15/2023 |
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.
