William R. Brown

RICHARD JAMES & ASSOCIATES

Syosett, NY 11791

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CRD#: 5774557

Professional summary

William Robert Brown is a registered financial professional currently at RICHARD JAMES & ASSOCIATES, INC. located in Syosett, New York.

William is registered as a RR (Registered Representative) and started their career in finance in 2010. William has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William Robert 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®

None

Experience

Current

November 2, 2018 - Present

RICHARD JAMES & ASSOCIATES, INC.

Office #1: 75 Jackson Ave, Syosett, NY 11791Office #2: 2 Roosevelt Ave. Ste 102, Syosset, NY 11791

CRD#: 169131

Syosett, NY

Past

March 16, 2017 - October 30, 2018

RICHARD JAMES & ASSOCIATES, INC.

CRD#: 169131

Syosett, NY

Past

December 8, 2016 - March 17, 2017

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

NEW YORK, NY

Past

March 30, 2015 - December 12, 2016

LEGEND SECURITIES, INC.

CRD#: 44952

Miller Place, NY

Past

March 12, 2015 - March 20, 2015

SIXTEEN SECURITIES, INC.

CRD#: 104025

Melville, NY

Past

October 1, 2012 - March 17, 2015

BROOKVILLE CAPITAL PARTNERS

CRD#: 102380

Melville, NY

Past

March 5, 2012 - October 2, 2012

SW FINANCIAL

CRD#: 145012

BABYLON VILLAGE, NY

Past

December 21, 2010 - March 7, 2012

FIRST MIDWEST SECURITIES, INC.

CRD#: 21786

GARDEN CITY, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alabama
(1/15/2019)

Arkansas
(11/21/2018)

California
(11/21/2018)

Colorado
(2/6/2019)

Connecticut
(11/7/2018)

Delaware
(11/21/2018)

Florida
(6/16/2025)

Georgia
(11/27/2018)

Idaho
(11/7/2018)

Indiana
(11/7/2018)

Iowa
(11/21/2018)

Kansas
(11/7/2018)

Kentucky
(11/21/2018)

Louisiana
(11/7/2018)

Maryland
(11/7/2018)

Michigan
(6/17/2019)

Minnesota
(11/27/2018)

Mississippi
(6/13/2019)

Nebraska
(12/4/2018)

Nevada
(11/7/2018)

New Jersey
(11/2/2018)

New York
(11/2/2018)

North Carolina
(11/2/2018)

Ohio
(11/21/2018)

Oklahoma
(11/8/2018)

Pennsylvania
(11/15/2018)

South Carolina
(11/21/2018)

South Dakota
(11/21/2018)

Tennessee
(4/19/2023)

Texas
(11/30/2018)

Washington
(11/21/2018)

West Virginia
(11/8/2018)

Wisconsin
(11/2/2018)

Exams

State Security Law Exam

Series 63

Date: 4/18/2011

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: 12/20/2010

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

RICHARD JAMES & ASSOCIATES, INC.

CRD#: 169131 / SEC#: , 8-69352

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

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Contact information

Main Address

2 Roosevelt Ave. Ste 102, Syosset, NY 11791

Mailing Address

2 Roosevelt Ave. Ste 102, Syosset, NY 11791

Phone number

(516) 200-3174

Established

New York since 08/14/2013

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (36 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
WINDERMERE ENTERPRISES, LLC	SHAREHOLDER
FLORIO, PHILIP	CCO/CEO	2377440
HALPERN, BARBARA DIANE	FINOP	711919

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

William R. Brown

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William Robert Brown's CRS (Customer Relationship Summary).

Certified licenses

Experience

RICHARD JAMES & ASSOCIATES, INC.

NEWBRIDGE SECURITIES CORPORATION

LEGEND SECURITIES, INC.

SIXTEEN SECURITIES, INC.

BROOKVILLE CAPITAL PARTNERS

SW FINANCIAL

FIRST MIDWEST SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/18/2011

SIE

Date: 10/1/2018

Series 7

Date: 12/20/2010

FINRA

Current Firm

RICHARD JAMES & ASSOCIATES, INC.

Contact information

FINRA licenses (36 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

RICHARD JAMES & ASSOCIATES, INC.

TRUST BUT VERIFY

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