Herbert L. Brown

ZACKS INVESTMENT MANAGEMENT

Orinda, CA

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CRD#: 870625

Professional summary

Herbert Lawrence Brown is a registered financial advisor currently at ZACKS INVESTMENT MANAGEMENT, INC. located in Orinda, California and LBMZ SECURITIES, INC. located in Chicago, Illinois.

Herbert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1979. Herbert has worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 24 and Series 39 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Herbert 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 21, 2006 - Present

ZACKS INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 110897

Orinda, CA

Current

February 10, 2006 - Present

LBMZ SECURITIES, INC.

Office #1: 101 North Wacker Drive Suite 1500, Chicago, IL 60606

CRD#: 7874

CHICAGO, IL

Past

November 20, 2003 - December 19, 2005

CAPITAL CONCEPTS INVESTMENT CORP.

CRD#: 7115

SAN FRANCISCO, CA

Past

January 1, 1999 - December 31, 2006

HERBERT LAWRENCE CONSULTANTS, INC.

RIA

CRD#: 137477

ORINDA, CA

Past

March 24, 1995 - July 23, 1999

CAPITAL CONCEPTS INVESTMENT CORP.

CRD#: 7115

SAN FRANCISCO, CA

Past

November 26, 1980 - February 2, 1993

HERBERT LAWRENCE CONSULTANTS, INC.

CRD#: 8383

FOSTER CITY, CA

Past

August 28, 1979 - July 30, 1980

LEHMAN BROTHERS INC.

CRD#: 7506

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".

ZACKS INVESTMENT MANAGEMENT, INC.

CRD#: 110897 / SEC#: 801-40592

RIA

Registered Investment Advisory firm - (1/17/1992 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
(2/10/2006)

IAR

California
(4/21/2006)

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

Series 63

Date: 12/2/2003

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/21/1998

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/18/1979

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/2/1982

General Securities Principal Examination

Principal/Supervisory Exam

Series 39

Date: 11/18/1980

Direct Participation Programs Principal Examination

SRO Registrations

FINRA

Current Firm

ZACKS INVESTMENT MANAGEMENT, INC.

CRD#: 110897 / SEC#: 801-40592

RIA

Registered Investment Advisory firm - (1/17/1992 Approved)

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Contact information

Main Address

101 N. Wacker Drive Suite 1500, Chicago, IL 60606

Mailing Address

Phone number

(312) 265-9266

Established

Firm type

Fiscal year end

# of Employees

122

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ZACKS ADV PART 2 & APPENDIX 1 05 2025 (5/29/2025)

Regulatory assets under management

Total Number of Accounts	12,050
AUM (Assets Under Management)	$ 12,414,372,511

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.

Contact information

xxxxx@xxxx.xxx

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Herbert L. Brown

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

LBMZ SECURITIES, INC.

CAPITAL CONCEPTS INVESTMENT CORP.

HERBERT LAWRENCE CONSULTANTS, INC.

CAPITAL CONCEPTS INVESTMENT CORP.

HERBERT LAWRENCE CONSULTANTS, INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

ZACKS INVESTMENT MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/2/2003

Series 65

Date: 10/21/1998

SIE

Date: 10/1/2018

Series 7

Date: 8/18/1979

Series 24

Date: 3/2/1982

Series 39

Date: 11/18/1980

FINRA

Current Firm

ZACKS INVESTMENT MANAGEMENT, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ZACKS INVESTMENT MANAGEMENT, INC.

TRUST BUT VERIFY

Contact information

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