Max K. Brown

ALLIANCEBERNSTEIN L.P.

Nashville, TN 37203

Some features on this profile are disabled

CRD#: 6011777

Professional summary

Max Kohn Brown III, who also goes by Max Kohn Brown, Max Kohn Brown III, Max Brown III, Max Brown, is a registered financial advisor currently at ALLIANCEBERNSTEIN L.P. located in Nashville, Tennessee and ALLIANCEBERNSTEIN INVESTMENTS, INC. located in Nashville, Tennessee.

Max is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Max has worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Max Kohn Brown | Max Kohn Brown Iii | Max Brown Iii | Max 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.

(1) AisleSides - Owner - content creator - non-investment related - 40 hrs / month - 11/08/2023

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Max Kohn Brown III'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 9, 2019 - Present

ALLIANCEBERNSTEIN L.P.

Office #1: 501 Commerce St, Nashville, TN 37203

RIA

CRD#: 108477

Nashville, TN

Current

April 8, 2019 - Present

ALLIANCEBERNSTEIN INVESTMENTS, INC.

Office #1: 501 Commerce Street, Nashville, TN 37203

CRD#: 14549

Nashville, TN

Past

January 31, 2019 - March 13, 2019

PINNACLE FAMILY ADVISORS, LLC

RIA

CRD#: 145628

SPRINGFIELD, MO

Past

May 26, 2018 - March 8, 2019

NORTHERN LIGHTS DISTRIBUTORS, LLC

CRD#: 126159

ELKHORN, NE

Past

August 10, 2016 - February 3, 2017

HAYS ADVISORY, LLC

RIA

CRD#: 113713

BRENTWOOD, TN

Past

July 26, 2016 - February 7, 2017

NORTHERN LIGHTS DISTRIBUTORS, LLC

CRD#: 126159

ELKHORN, NE

Past

January 19, 2016 - July 12, 2016

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

FRANKLIN, TN

Past

August 19, 2014 - March 29, 2016

CURIAN CAPITAL, LLC

RIA

CRD#: 120270

FRANKLIN, TN

Past

August 18, 2014 - January 21, 2016

CURIAN CLEARING, LLC

CRD#: 132938

FRANKLIN, TN

Past

January 27, 2014 - June 3, 2014

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

TROY, MI

Past

January 23, 2014 - June 3, 2014

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

TROY, MI

Past

September 12, 2012 - June 18, 2013

HANTZ FINANCIAL SERVICES, INC.

RIA

CRD#: 46047

SOUTHFIELD, MI

Past

July 2, 2012 - June 18, 2013

HANTZ FINANCIAL SERVICES, INC.

CRD#: 46047

SOUTHFIELD, MI

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".

ALLIANCEBERNSTEIN L.P.

ALLIANCE CAPITAL MANAGEMENT L P | ALLIANCEBERNSTEIN L.P.

CRD#: 108477 / SEC#: 801-56720

RIA

Registered Investment Advisory firm - (8/13/1999 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

Tennessee
(4/9/2019)

IAR

Tennessee
(4/9/2019)

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: 9/8/2012

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/29/2012

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ALLIANCEBERNSTEIN L.P.

ALLIANCE CAPITAL MANAGEMENT L P | ALLIANCEBERNSTEIN L.P.

CRD#: 108477 / SEC#: 801-56720

RIA

Registered Investment Advisory firm - (8/13/1999 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

501 Commerce Street, Nashville, TN 37203

Mailing Address

Phone number

(615) 622-0000

Established

Firm type

Fiscal year end

# of Employees

3,994

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PRIVATE CLIENT FORM ADV BROCHURE (3/28/2025)

INSTITUTIONAL FORM ADV BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	68,593
AUM (Assets Under Management)	$ 709,162,000,000

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/25/2024	Cover Page	Report
10/27/2023	Cover Page	Report

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

Eric Berner

LPL FINANCIAL LLC

IAR

HENDERSONVILLE, TN

Thomas Ennis

TRUIST ADVISORY SERVICES, INC.

IAR

SUITE 620, TN

James Parker

MORGAN STANLEY

IAR

Franklin, TN

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Max K. Brown

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Max Kohn Brown III's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLIANCEBERNSTEIN INVESTMENTS, INC.

PINNACLE FAMILY ADVISORS, LLC

NORTHERN LIGHTS DISTRIBUTORS, LLC

HAYS ADVISORY, LLC

NORTHERN LIGHTS DISTRIBUTORS, LLC

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CURIAN CAPITAL, LLC

CURIAN CLEARING, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

HANTZ FINANCIAL SERVICES, INC.

HANTZ FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

ALLIANCEBERNSTEIN L.P.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/8/2012

SIE

Date: 10/1/2018

Series 7

Date: 6/29/2012

FINRA

Current Firm

ALLIANCEBERNSTEIN L.P.

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ALLIANCEBERNSTEIN L.P.

TRUST BUT VERIFY

Similar Advisors