Christopher S Brown | Financial Professional | Franklin, Tennessee | KINGSWOOD WEALTH ADVISORS, LLC

Professional summary

Christopher S Brown, who also goes by Chris Brown, is a registered financial advisor currently at KINGSWOOD WEALTH ADVISORS, LLC located in Franklin, Tennessee and KINGSWOOD CAPITAL PARTNERS, LLC located in Franklin, Tennessee.

Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Christopher has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

What are your service offerings?

Wealth Preservation Strategies

Retirement Planning Strategies

Intergenerational Planning

Are you a "fiduciary"?

Yes

Aliases

Chris 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.

Lifetrust Property Group, Not investment related, 3401 Mallory Lane Suite 238, Nature: real estate, Managing Partner/President, 06/01/2023, 4 hours devote, 2 trading, Managing investment in rental property. Christopher S Brown,Is Investment Related,"PO Box 682321, , Franklin, TN, 37068, United States",Expert Witness,Expert Witness,11/18/2024,13 hours per month,0 hours per month during trading hours, Hourly Compensation,I was called to be an expert witness to discuss income generation possibilities from an investment portfolio "dba LifeTrust Wealth Advisors, LLC",Is Investment Related,"3401 Mallory Lane, Suite 238, Franklin, TN, 37067, United States",Advisory,CEO,7/1/2025,60 hours per month,5 hours per month during trading hours, Fee Based Compensation,"This name will be used as a dba for my advisory business but is not being used currently. Mike Alsoraimi approved the use of the name. The state of Tennessee approved the name a few weeks ago. I would alo like to use this name for non-securities related insurance business. Life, non securities annuities, LTC and disability. The advisory business may be fee, commission and insurance will be commission." Page High School Quarterback Club,Is Not Investment Related,"6281 Arno Road, , Franklin, TN, 37064, United States",High School Football,Member,8/1/2023,1 hours per month,0 hours per month during trading hours,No Compensation Compensation,"This position is for helping pre-game high school football, running score board, field set up and voting for various expenditures for the program."

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher S 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

April 8, 2024 - Present

KINGSWOOD WEALTH ADVISORS, LLC

Office #1: 3401 Mallory Lane Suite 238, Franklin, TN 37067

RIA

CRD#: 288792

Franklin, TN

Current

April 8, 2024 - Present

KINGSWOOD CAPITAL PARTNERS, LLC

Office #1: 3401 Mallory Lane Ste 238, Franklin, TN 37067

BD

CRD#: 288898

Franklin, TN

Past

October 14, 2016 - April 11, 2024

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

Franklin, TN

Past

October 14, 2016 - April 11, 2024

AMERIPRISE FINANCIAL SERVICES, LLC

BD

CRD#: 6363

Franklin, TN

Past

January 4, 2011 - October 20, 2016

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

NASHVILLE, TN

Past

December 14, 2010 - October 20, 2016

WELLS FARGO CLEARING SERVICES, LLC

BD

CRD#: 19616

NASHVILLE, TN

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".

KW

KINGSWOOD WEALTH ADVISORS, LLC

CRD#: 288792 / SEC#: 801-110755

RIA

Registered Investment Advisory firm - (7/3/2017 Approved)

Arizona

Registered Investment Advisory firm - (1/31/2018 Terminated)

District of Columbia

Registered Investment Advisory firm - (1/31/2018 Terminated)

Maryland

Registered Investment Advisory firm - (3/2/2018 Terminated)

Michigan

Registered Investment Advisory firm - (1/26/2018 Terminated)

West Virginia

Registered Investment Advisory firm - (1/31/2018 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.

RR

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

RR

Alabama
(4/11/2024)

IAR

Alabama
(4/11/2024)

RR

Arizona
(4/8/2024)

RR

Arkansas
(4/8/2024)

IAR

Arkansas
(4/25/2024)

RR

California
(4/8/2024)

IAR

California
(4/9/2024)

RR

Colorado
(4/10/2024)

RR

Florida
(4/8/2024)

RR

Georgia
(4/8/2024)

IAR

Georgia
(10/31/2024)

RR

Illinois
(4/8/2024)

RR

Indiana
(4/29/2024)

IAR

Kentucky
(4/10/2024)

RR

Kentucky
(5/21/2024)

IAR

Louisiana
(4/16/2024)

RR

Louisiana
(12/10/2024)

IAR

Minnesota
(4/10/2024)

RR

Minnesota
(4/11/2024)

RR

Mississippi
(4/10/2024)

RR

Missouri
(4/8/2024)

RR

Montana
(4/8/2024)

IAR

Montana
(4/15/2024)

IAR

Ohio
(4/12/2024)

RR

Oklahoma
(4/8/2024)

IAR

Oklahoma
(6/11/2024)

RR

South Carolina
(4/8/2024)

IAR

South Carolina
(4/10/2024)

RR

South Dakota
(5/8/2024)

RR

Tennessee
(4/8/2024)

IAR

Tennessee
(4/9/2024)

RR

Texas
(4/8/2024)

IAR

Texas
(4/8/2024)

RR

Virginia
(4/8/2024)

IAR

Virginia
(4/9/2024)

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

RR

IAR

Series 66

Date: 12/31/2010

Uniform Combined State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 12/13/2010

General Securities Representative Examination

SRO Registrations

RR

FINRA

Current Firm

KW

KINGSWOOD WEALTH ADVISORS, LLC

CRD#: 288792 / SEC#: 801-110755

RIA

Registered Investment Advisory firm - (7/3/2017 Approved)

Arizona

Registered Investment Advisory firm - (1/31/2018 Terminated)

District of Columbia

Registered Investment Advisory firm - (1/31/2018 Terminated)

Maryland

Registered Investment Advisory firm - (3/2/2018 Terminated)

Michigan

Registered Investment Advisory firm - (1/26/2018 Terminated)

West Virginia

Registered Investment Advisory firm - (1/31/2018 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).

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Contact information

Main Address

11440 W. Bernardo Court Suite 300, San Diego, CA 92127

Mailing Address

126 E 56th Suite 3l, New York, NY 10022

Phone number

(800) 535-6981

Established

Firm type

Fiscal year end

# of Employees

80

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MARCH 2025 (3/26/2025)

WRAP FEE PROGRAM BROCHURE - MARCH 28 2024 (3/26/2025)

Regulatory assets under management

Total Number of Accounts	9,250
AUM (Assets Under Management)	$ 2,470,940,336

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

Christopher S. Brown

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher S Brown's CRS (Customer Relationship Summary).

Certified licenses

Experience

KINGSWOOD CAPITAL PARTNERS, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

KINGSWOOD WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/31/2010

SIE

Date: 10/1/2018

Series 7

Date: 12/13/2010

FINRA

Current Firm

KINGSWOOD WEALTH ADVISORS, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KINGSWOOD WEALTH ADVISORS, LLC

TRUST BUT VERIFY

Contact information

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