Jesse R. Brownell

THORNBURG INVESTMENT MANAGEMENT

Denver, CO

Some features on this profile are disabled

CRD#: 5511918

Professional summary

Jesse Ryan Brownell is a registered financial advisor currently at THORNBURG INVESTMENT MANAGEMENT INC located in Denver, Colorado and THORNBURG SECURITIES LLC located in Santa Fe, New Mexico.

Jesse is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Jesse has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 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)Finnell Co LLC; not investment-related; 2057 Eliot St., Denver CO 80211; LLC to hold rental property; managing member; start date 9-3-19; 0 hrs devoted to the other business during NYSE trading hours; duties include purchasing real estate and employing an outside property manager for the day-to-day. 2) PlayPark LLC; Not investment-related; 1184 Emerald Bay Rd, South Lake Tahoe, CA 96150; 0 hrs devoted to the other business during NYSE trading hours; LLC to hold passive real estate investments. 3) Finnell Wy LLC; Not investment related. passive real estate investment LLC; expects 2,000 month income. Began 8/22/2022. 0 hours during week 0 hours during NYSE hours. Passively holding real estate investments no active role.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jesse Ryan Brownell'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®

None

Experience

Current

December 21, 2017 - Present

THORNBURG INVESTMENT MANAGEMENT INC

RIA

CRD#: 106357

Denver, CO

Current

August 30, 2016 - Present

THORNBURG SECURITIES LLC

Office #1: 2300 North Ridgetop Road, Santa Fe, NM 87506

CRD#: 14857

Santa Fe, NM

Past

January 2, 2014 - August 1, 2016

NEXPOINT SECURITIES, INC.

CRD#: 165013

DALLAS, TX

Past

May 6, 2013 - January 27, 2014

NEXBANK SECURITIES INC

CRD#: 133267

DALLAS, TX

Past

December 3, 2012 - May 6, 2013

HARTFORD FUNDS DISTRIBUTORS, LLC

CRD#: 45995

WAYNE, PA

Past

May 8, 2008 - December 3, 2012

GLOBAL ATLANTIC DISTRIBUTORS, LLC

CRD#: 8326

WAYNE, PA

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".

THORNBURG INVESTMENT MANAGEMENT INC

CRD#: 106357 / SEC#: 801-17853

RIA

Registered Investment Advisory firm - (10/15/1982 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(8/30/2016)

Colorado
(8/30/2016)

IAR

Colorado
(12/21/2017)

Montana
(8/30/2016)

New Mexico
(8/30/2016)

IAR

New Mexico
(12/22/2017)

Utah
(8/30/2016)

Wyoming
(8/30/2016)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/21/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/11/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/13/2017

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/7/2008

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/23/2019

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

THORNBURG INVESTMENT MANAGEMENT INC

CRD#: 106357 / SEC#: 801-17853

RIA

Registered Investment Advisory firm - (10/15/1982 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

2300 North Ridgetop Road, Santa Fe, NM 87506

Mailing Address

Phone number

(505) 467-7283

Established

Firm type

Fiscal year end

# of Employees

219

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A BROCHURE MARCH 31, 2022 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	705
AUM (Assets Under Management)	$ 45,288,445,586

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jesse R. Brownell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jesse Ryan Brownell's CRS (Customer Relationship Summary).

Certified licenses

Experience

THORNBURG SECURITIES LLC

NEXPOINT SECURITIES, INC.

NEXBANK SECURITIES INC

HARTFORD FUNDS DISTRIBUTORS, LLC

GLOBAL ATLANTIC DISTRIBUTORS, LLC

Primary Firm SEC Registration

THORNBURG INVESTMENT MANAGEMENT INC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/21/2017

Series 63

Date: 6/11/2008

SIE

Date: 10/1/2018

Series 7

Date: 1/13/2017

Series 6

Date: 5/7/2008

Series 24

Date: 7/23/2019

FINRA

Current Firm

THORNBURG INVESTMENT MANAGEMENT INC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THORNBURG INVESTMENT MANAGEMENT INC

TRUST BUT VERIFY

Similar Advisors