MB
Michael C. Brown
JOURNEY STRATEGIC WEALTH LLC
SUMMIT, NJ 07901
Some features on this profile are disabled
CRD#: 715584
MB
Professional summary
Michael Charles Brown is a registered financial advisor currently at JOURNEY STRATEGIC WEALTH LLC located in Summit, New Jersey and PURSHE KAPLAN STERLING INVESTMENTS located in Summit, New Jersey.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Michael has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10, Series 4, Series 24 and Series 8 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.
1) Michael Brown is dually-registered as an Investment Advisor Representative with Journey Strategic Wealth LLC - since 12/2020) and as a Registered Representative with Purshe Kaplan Sterling Investments, Inc. (PKS" - since 12/2010). Business is conducted from the registered location. Approximately 90% of Mr. Brown's time is for services as an Investment Advisor Representative and the balance as a Registered Representative. 2) HOPE & HEROES. Not Investment Related. Presbyterian Hosptial. New York, NY 10032. Charitable Organization. Director. Start 2003. 5 hours per month not during trading. Children's cancer fund who's main objective is to cure childhood cancers. Primarily a fund raising Group to support research & programs. 3. BLATTMAN 2012 GST EXEMPT TRUST; INVESTMENT RELATED; 410 WEST 24TH ST, 18F NEW YORK, NY 10011; TRUST ACCOUNT; TRUSTEE; START DATE: 7/12/2012; APPROX 2 HRS/MO; ACTING AS TRUSTEE FOR A CLOSE PERSONAL FRIEND, NOT RECEIVING COMPENSATION 4) CHARLES H. BROWN IRREVOCABLE TRUST, 216 SPRING VALLEY RD, PARAMUS, NJ 07652. TRUSTEE, 8/2015-PRESENT. 1 HR/MONTH, NONE DURING TRADING, TRUSTEE FOR FAMILY TRUST. 5) LA MACINAIA WINES; NOT INVESTMENT RELATED; GAIOLE IN CHIANTI TUSCANY ITALY; LA MACINAIA WINES; BRAND AMBASSADORS-CONSULTANT; 03/2018; 5 HOURS/MONTH; 0 HOURS DURING SECURITIES HOURS; REPRESENT LAMACINAIA WINES WITH US DISTRIBUTOR. 6) FIFTY ONE FIFTY, LLC. Not Investment Related. 8732 E. San Victor Dr, Scottsdale AZ. CRM Software. Advisory Board. Start 7/2020. 4 hours per month not during trading. Strategic advisor helping company with AI solutions for the RIA community. 7) GREAT OAKS CHARTER SCHOOLS. Not Investment Related. 38 Delancey Street, 3rd Floor, New York NY 10002. Non Profit. Trustee. Start 4/2020. 4 hours per month not during trading. Interact with director discussing schools direction. 8) Florida Kings Hockey Club Inc; Not Investment Related; Delray Beah, FL; Non Profit Youth Hockey Club; Board Member; 1/16/2024; 4 hrs/mo; 0 hrs during trading; Assisting in the building of a youth hockey program in the Delray Beach and Boca Raton area.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Charles 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®
NoneExperience
Current
January 25, 2021 - Present
JOURNEY STRATEGIC WEALTH LLC
Office #1: 47 Maple Street Suite 104, Summit, NJ 07901RIA
CRD#: 310648
SUMMIT, NJ
Current
December 3, 2010 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 47 Maple Street Suite 104, Summit, NJ 07901BD
CRD#: 35747
Summit, NJ
Past
April 13, 2016 - December 19, 2018
DYNASTY WEALTH MANAGEMENT, LLC
RIA
CRD#: 153377
NEW YORK, NY
Past
March 21, 2013 - April 11, 2016
DYNASTY SECURITIES, LLC
BD
CRD#: 159076
NEW YORK, NY
Past
October 23, 2009 - December 14, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NEW YORK, NY
Past
October 23, 2009 - December 14, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
January 13, 2004 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
NEW YORK, NY
Past
August 18, 2003 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
NEW YORK, NY
Past
April 12, 2001 - August 20, 2003
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
October 30, 1997 - April 18, 2001
ABN AMRO SECURITIES LLC
BD
CRD#: 6540
NEW YORK, NY
Past
October 2, 1987 - October 2, 1997
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
July 28, 1986 - November 3, 1987
PERSHING LLC
BD
CRD#: 7560
Past
September 23, 1980 - August 18, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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".
JS
JOURNEY STRATEGIC WEALTH LLC
JOURNEY STRATEGIC WEALTH LLC | MDL WEALTH MANAGEMENT
CRD#: 310648 / SEC#: 801-119925
RIA
Registered Investment Advisory firm - (12/7/2020 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
Arizona(1/14/2011)
RR
California(4/13/2015)
RR
Connecticut(12/3/2010)
RR
District of Columbia(12/3/2010)
RR
Florida(12/3/2010)
IAR
Florida(1/28/2022)
RR
Georgia(4/27/2015)
RR
Illinois(12/3/2010)
RR
Indiana(4/15/2015)
RR
Maryland(9/25/2017)
RR
Massachusetts(12/7/2010)
RR
Nevada(11/7/2017)
RR
New Jersey(1/18/2011)
IAR
New Jersey(1/25/2021)
RR
New York(12/3/2010)
IAR
New York(2/4/2025)
RR
North Carolina(4/9/2015)
RR
Ohio(2/4/2019)
RR
Oklahoma(12/22/2010)
RR
Oregon(1/30/2018)
RR
Pennsylvania(12/3/2010)
RR
South Carolina(8/29/2022)
RR
Washington(8/19/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 7/7/1986
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
JS
JOURNEY STRATEGIC WEALTH LLC
JOURNEY STRATEGIC WEALTH LLC | MDL WEALTH MANAGEMENT
CRD#: 310648 / SEC#: 801-119925
RIA
Registered Investment Advisory firm - (12/7/2020 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
47 Maple Street Suite 104, Summit, NJ 07901
Mailing Address
Phone number
(201) 905-0070
Established
Firm type
Fiscal year end
# of Employees
30
SEC notice filing (38 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,304 |
| AUM (Assets Under Management) | $ 3,764,311,936 |
Red Flags
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