GB
Grant E. Brown
KESTRA ADVISORY SERVICES
WARWICK, RI 02888
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CRD#: 6970382
GB
Professional summary
Grant Edward Brown, CFP® is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Warwick, Rhode Island and KESTRA INVESTMENT SERVICES, LLC located in Warwick, Rhode Island.
Grant is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Grant has worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Business Name: Compensation Planning Inc. Investment Related: No Address: 67 Jefferson Blvd Warwick RI 02888 Nature of Business: Other TPA Position, Title or Relationship: Vice President/Retirement Plan Cons Start Date: 1/1/2012 Hours per month: 81% - 90% (129 - 144 hours) Hours per month during trading hours: 71% - 80% (99 - 112 hours) Duties: -Consulting with internal staff and business owners on ERISA compliance questions/issues -Running Analysis of Retirement Plan Options for Prospective Clients -Improving Technology and Procedures in officeBusiness Name: Jefferson Advisors Investment Related: Yes Address: 67 Jefferson Blvd Warwick RI 02888 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Retirement Plan Consultant Start Date: 10/1/2018 Hours per month: 31% - 40% (49 - 64 hours) Hours per month during trading hours: 31% - 40% (43 - 56 hours) Duties: Helping plan sponsor select and monitor the investment. Helping individuals invest.Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2 Ste. 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Start Date: 1/1/2019 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Advising on 401k plans BOARD MEMBER OF ESTATE PLANNING COUNCIL OF RI POSITION: Board Member NATURE: Board position (Board of Directors, Board of Trustees, etc.) INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 05/01/2022 ADDRESS: PO Box 17215, Smithfield RI 02917, United States DESCRIPTION: Attend Meetings and vote on a variety of items
CRS (Client Relationship Summary) - RIA
Click below to view Grant Edward Brown's 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®
Experience
Current
August 22, 2018 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 67 Jefferson Blvd, Warwick, RI 02888RIA
CRD#: 283330
WARWICK, RI
Current
September 25, 2018 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 67 Jefferson Blvd, Warwick, RI 02888BD
CRD#: 42046
Warwick, RI
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 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.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
Connecticut(4/2/2019)
RR
Illinois(4/3/2019)
RR
Massachusetts(4/2/2019)
RR
New Hampshire(3/31/2025)
RR
New Jersey(8/23/2021)
RR
Rhode Island(4/2/2019)
IAR
Rhode Island(4/2/2019)
IAR
Texas(8/22/2018)
RR
Texas(11/21/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330Warwick, RI 02888TRUST BUT VERIFY
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