Stephen L. Brown

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

Portland, OR 97225

Some features on this profile are disabled

CRD#: 846431

Professional summary

Stephen Lawrence Brown is a registered financial advisor currently at LASALLE ST. INVESTMENT ADVISORS, L.L.C. located in Portland, Oregon and LASALLE ST SECURITIES, L.L.C. located in Portland, Oregon.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1977. Stephen has worked at 15 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 3, Series 5, Series 7 and Series 24 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) NW Securities Advisors; Investment-Related; DBA for Securities Related Business & Fixed Insurance 2) Health, Life, and Variable Insurance; Investment-Related; Agent 3) Deschutes Land Trust; participate in finance & fundraising committees. Treasurer 4) Economic Development for Central Oregon, Crook County; board member; monthly meeting & occasional events promoting economic development in Crook County, Oregon 5) Crook County Oregon Budget Committee; committee member. Review annual budget with 4 public and 2 county employeed participants listening to and reviewed County Budget proposal. 6) NW Securities Advisors- Analysis of family assets for divorce valuations

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Lawrence Brown'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 2, 2024 - Present

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

Office #1: 8835 Sw Canyon Ln. Ste 115, Portland, OR 97225

RIA

CRD#: 109701

Portland, OR

Current

March 28, 2024 - Present

LASALLE ST SECURITIES, L.L.C.

Office #1: 8835 Sw Canyon Ln. Ste 115, Portland, OR 97225

CRD#: 7191

Portland, OR

Past

March 28, 2024 - April 1, 2024

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

RIA

CRD#: 109701

ELMHURST, IL

Past

January 11, 2018 - April 5, 2024

WESTERN INTERNATIONAL SECURITIES, INC.

RIA

CRD#: 39262

Portland, OR

Past

September 1, 2006 - April 5, 2024

WESTERN INTERNATIONAL SECURITIES, INC.

CRD#: 39262

Portland, OR

Past

June 13, 2005 - September 20, 2006

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

PORTLAND, OR

Past

March 12, 2002 - June 13, 2005

ROUND HILL SECURITIES, INC.

CRD#: 35223

ALAMO, CA

Past

February 27, 1998 - March 11, 2002

PIM FINANCIAL SERVICES, INC.

CRD#: 10547

SAN MARCOS, CA

Past

March 20, 1995 - January 29, 1998

NORTHEAST SECURITIES, LLC

CRD#: 25996

MITCHELFIELD, NY

Past

November 2, 1994 - March 30, 1995

CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.

CRD#: 2864

BRYAN, OH

Past

November 30, 1989 - September 26, 1994

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Past

March 31, 1987 - December 5, 1989

LIVINGSTON SECURITIES, INC.

CRD#: 16455

Past

August 12, 1983 - March 25, 1987

A. G. EDWARDS & SONS, INC.

CRD#: 4

Past

October 15, 1981 - August 23, 1983

LEHMAN BROTHERS INC.

CRD#: 7506

Past

November 5, 1980 - July 21, 1981

FIRST HERITAGE INVESTMENT CO.

CRD#: 7326

Past

March 26, 1980 - November 27, 1980

BELFORD HAMMERBECK, INC

CRD#: 1201

Past

December 5, 1977 - April 17, 1980

E. F. HUTTON & COMPANY INC

CRD#: 235

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".

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

CRD#: 109701 / SEC#: 801-33422

RIA

Registered Investment Advisory firm - (2/10/1989 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

California
(4/5/2024)

IAR

California
(5/7/2024)

Colorado
(4/29/2024)

Florida
(4/5/2024)

IAR

North Carolina
(4/10/2024)

North Carolina
(4/12/2024)

Oregon
(4/2/2024)

IAR

Oregon
(4/2/2024)

Washington
(4/5/2024)

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: 9/11/2017

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 1/29/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/24/1979

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 2/4/1991

National Commodity Futures Examination

General Industry/Product Exam

Series 5

Date: 10/17/1981

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 11/19/1977

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/6/1996

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

CRD#: 109701 / SEC#: 801-33422

RIA

Registered Investment Advisory firm - (2/10/1989 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

940 N. Industrial Dr., Elmhurst, IL 60126-1131

Mailing Address

Phone number

(630) 600-0500

Established

Firm type

Fiscal year end

# of Employees

144

SEC notice filing (46 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LSIA ADV PART 2A 01-02-18 (12/3/2025)

Regulatory assets under management

Total Number of Accounts	11,941
AUM (Assets Under Management)	$ 4,346,509,887

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

Viengsavanh Bounnam

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Vancouver, WA

Devlin Carothers

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Vancouver, WA

Gregory Bowen

MARINER WEALTH

IAR

Portland, OR

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Stephen L. Brown

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Lawrence Brown's CRS (Customer Relationship Summary).

Certified licenses

Experience

LASALLE ST SECURITIES, L.L.C.

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

WESTERN INTERNATIONAL SECURITIES, INC.

WESTERN INTERNATIONAL SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

ROUND HILL SECURITIES, INC.

PIM FINANCIAL SERVICES, INC.

NORTHEAST SECURITIES, LLC

CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.

KIDDER, PEABODY & CO. INCORPORATED

LIVINGSTON SECURITIES, INC.

A. G. EDWARDS & SONS, INC.

LEHMAN BROTHERS INC.

FIRST HERITAGE INVESTMENT CO.

BELFORD HAMMERBECK, INC

E. F. HUTTON & COMPANY INC

Primary Firm SEC Registration

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/11/2017

Series 65

Date: 1/29/1992

Series 63

Date: 8/24/1979

SIE

Date: 10/1/2018

Series 3

Date: 2/4/1991

Series 5

Date: 10/17/1981

Series 7

Date: 11/19/1977

Series 24

Date: 5/6/1996

FINRA

Current Firm

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

Contact information

SEC notice filing (46 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

TRUST BUT VERIFY

Similar Advisors