Scott Alexander Brown
Professional Summary
Scott Alexander Brown is a registered financial advisor currently at RAI WEALTH located in Naperville, Illinois and PRIVATE CLIENT SERVICES, LLC located in Naperville, Illinois. Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Scott has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
J.P. MORGAN SECURITIES LLC
VERTEX PARTNERS
INDEPENDENT FINANCIAL GROUP, LLC
EDWARD JONES
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
J.P. MORGAN SECURITIES LLC
VERTEX PARTNERS
INDEPENDENT FINANCIAL GROUP, LLC
EDWARD JONES
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
J.P. MORGAN SECURITIES LLC
VERTEX PARTNERS
INDEPENDENT FINANCIAL GROUP, LLC
EDWARD JONES
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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
J.P. MORGAN SECURITIES LLC
VERTEX PARTNERS
INDEPENDENT FINANCIAL GROUP, LLC
EDWARD JONES
Years of Experience
18 years in the financial services industry
Current & Past Employments
Similar Advisors
J.P. MORGAN SECURITIES LLC
VERTEX PARTNERS
INDEPENDENT FINANCIAL GROUP, LLC
EDWARD JONES
Current Firm
BROWN WEALTH MANAGEMENT, LLC | RAI WEALTH
Contact Information
Main Address
1700 Park Street, Suite 106, Naperville, IL 60563Phone Number
(630) 733-8434# of Employees
12SEC notice filing (8 States and Territories)
Registered to provide investment advisory services in 8 US states and territories.
Regulatory Assets Under Management
Total Number of Accounts
1,220AUM (Assets Under Management)
$530,789,306Similar Advisors
J.P. MORGAN SECURITIES LLC
VERTEX PARTNERS
INDEPENDENT FINANCIAL GROUP, LLC
EDWARD JONES
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.
Similar Advisors
J.P. MORGAN SECURITIES LLC
VERTEX PARTNERS
INDEPENDENT FINANCIAL GROUP, LLC
EDWARD JONES
Primary Firm SEC Registration
BROWN WEALTH MANAGEMENT, LLC | RAI WEALTH
State Registrations and Notice Filings
(3/6/2023)
(3/6/2023)
(3/6/2023)
(3/6/2023)
(3/6/2023)
(3/6/2023)
(4/6/2023)
(3/6/2023)
(3/6/2023)
(3/6/2023)
(5/14/2024)
(3/19/2024)
(3/6/2023)
(3/6/2023)
(4/5/2023)
(3/6/2023)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
J.P. MORGAN SECURITIES LLC
VERTEX PARTNERS
INDEPENDENT FINANCIAL GROUP, LLC
EDWARD JONES
CRS (Client Relationship Summary) - RIA
Click below to view Scott Alexander Brown's CRS (Customer Relationship Summary).
Similar Advisors
J.P. MORGAN SECURITIES LLC
VERTEX PARTNERS
INDEPENDENT FINANCIAL GROUP, LLC
EDWARD JONES
