James B. Brown

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CRD#: 6216202

Professional summary

James Brennan Brown was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

James is a previously registered financial professional and started their career in finance in 2013. Prior to being barred, James had worked at 3 firms, which includes AMERICAN INDEPENDENT SECURITIES GROUP LLC, EDWARD JONES, D.A. DAVIDSON & CO..

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.

Life insurance sales- insurance agent- Albany, OR

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 22, 2020 - November 3, 2023

AMERICAN INDEPENDENT SECURITIES GROUP, LLC

RIA

CRD#: 135288

Albany, OR

Past

January 22, 2020 - November 3, 2023

AMERICAN INDEPENDENT SECURITIES GROUP, LLC

CRD#: 135288

Albany, OR

Past

March 13, 2015 - December 12, 2019

EDWARD JONES

RIA

CRD#: 250

ALBANY, OR

Past

March 13, 2015 - December 12, 2019

EDWARD JONES

CRD#: 250

ALBANY, OR

Past

November 21, 2013 - February 9, 2015

D.A. DAVIDSON & CO.

RIA

CRD#: 199

PORTLAND, OR

Past

September 10, 2013 - February 9, 2015

D.A. DAVIDSON & CO.

CRD#: 199

PORTLAND, OR

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".

AMERICAN INDEPENDENT SECURITIES GROUP, LLC

CRD#: 135288 / SEC#: 801-69138, 8-66905

RIA

Registered Investment Advisory firm - SEC (5/27/2008 Approved)

Arizona

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

California

Registered Investment Advisory firm - SEC (6/4/2008 Terminated)

Colorado

Registered Investment Advisory firm - SEC (7/3/2008 Terminated)

District of Columbia

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Florida

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Georgia

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Idaho

Registered Investment Advisory firm - SEC (6/11/2008 Terminated)

Indiana

Registered Investment Advisory firm - SEC (6/5/2008 Terminated)

Kentucky

Registered Investment Advisory firm - SEC (6/9/2008 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (6/16/2008 Terminated)

Montana

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Nevada

Registered Investment Advisory firm - SEC (7/8/2008 Terminated)

New Mexico

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

North Dakota

Registered Investment Advisory firm - SEC (6/9/2008 Terminated)

Ohio

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Oregon

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Texas

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Washington

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/20/2013

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: 9/10/2013

General Securities Representative Examination

Current Firm

AMERICAN INDEPENDENT SECURITIES GROUP, LLC

CRD#: 135288 / SEC#: 801-69138, 8-66905

RIA

Registered Investment Advisory firm - SEC (5/27/2008 Approved)

Arizona

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

California

Registered Investment Advisory firm - SEC (6/4/2008 Terminated)

Colorado

Registered Investment Advisory firm - SEC (7/3/2008 Terminated)

District of Columbia

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Florida

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Georgia

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Idaho

Registered Investment Advisory firm - SEC (6/11/2008 Terminated)

Indiana

Registered Investment Advisory firm - SEC (6/5/2008 Terminated)

Kentucky

Registered Investment Advisory firm - SEC (6/9/2008 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (6/16/2008 Terminated)

Montana

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Nevada

Registered Investment Advisory firm - SEC (7/8/2008 Terminated)

New Mexico

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

North Dakota

Registered Investment Advisory firm - SEC (6/9/2008 Terminated)

Ohio

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Oregon

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Texas

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Washington

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

664 S Rivershore Lane Suite 150, Eagle, ID 83616

Mailing Address

Po Box 579, Eagle, ID 83616

Phone number

(208) 489-3131

Established

Idaho since 12/30/2004

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (49 States and Territories)

FINRA licenses (50 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADV2A - AMENDED 11/6/2025 (11/6/2025)

Direct owners and executive officers

Name	Position	CRD#
CARLSON, RYAN SHANE	MEMBER, CEO	4209072
FAXON, REYHEENA MARIA	PRINCIPAL, FINOP	4219599
KERBEIN, SHEILA A	PRINCIPAL, CHIEF COMPLIANCE OFFICER	5571772
THOMAS, JOSEPH ALLISON JR	MUNICIPAL PRICIPAL,REGISTERED OPTIONS AND SECURITIES FUTURES PRINCIPAL ,MEMBER	1484206

Regulatory assets under management

Total Number of Accounts	2,987
AUM (Assets Under Management)	$ 604,888,609

Disclosures

Regulatory Event

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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Firm Stability Insights

James B. Brown

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AMERICAN INDEPENDENT SECURITIES GROUP, LLC

EDWARD JONES

EDWARD JONES

D.A. DAVIDSON & CO.

D.A. DAVIDSON & CO.

Primary Firm SEC Registration

AMERICAN INDEPENDENT SECURITIES GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/20/2013

SIE

Date: 10/1/2018

Series 7

Date: 9/10/2013

Current Firm

AMERICAN INDEPENDENT SECURITIES GROUP, LLC

Contact information

SEC notice filing (49 States and Territories)

FINRA licenses (50 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

AMERICAN INDEPENDENT SECURITIES GROUP, LLC

TRUST BUT VERIFY

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