Edward A. Brown
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Edward A.l. Brown, CFP®, ChFC®, who also goes by Edward A.l. Brown Sr., Edward Addie Lee Brown, Edward Brown, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 2016. Edward had worked at 6 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 16, 2021 - July 17, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
April 8, 2021 - July 14, 2023
FIDELITY BROKERAGE SERVICES LLC
December 22, 2020 - December 22, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
July 16, 2020 - December 4, 2020
FREEMAN CAPITAL ADVISORS
December 20, 2016 - May 17, 2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
August 18, 2016 - December 13, 2016
J.P. MORGAN SECURITIES LLC
June 10, 2016 - August 5, 2016
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 4/8/2021
General Securities Representative ExaminationCurrent Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
