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JB

James M. Brown

Some features on this profile are disabled
CRD#: 871191
JB

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.

James Michael Brown, who also goes by Jim Brown, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1979. James had worked at 7 firms and has passed the Series 65, Series 63, Series 72, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jim Brown

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 17, 2009 - April 28, 2022

HENLEY & COMPANY WEALTH MANAGEMENT LLC

RIA
CRD#: 144884
VIRGINIA BEACH, VA
Past

October 6, 2009 - April 28, 2022

HENLEY & COMPANY LLC

BD
CRD#: 131453
VIRGINIA BEACH, VA
Past

January 15, 2009 - September 11, 2009

NEXT FINANCIAL GROUP, INC.

RIA
CRD#: 46214
VIRGINIA BEACH, VA
Past

January 15, 2009 - September 11, 2009

NEXT FINANCIAL GROUP, INC.

BD
CRD#: 46214
VIRGINIA BEACH, VA
Past

June 27, 2006 - December 31, 2007

COMMONWEALTH FINANCIAL NETWORK

RIA
CRD#: 8032
VIRGINIA BEACH, VA
Past

March 16, 2004 - December 31, 2007

COMMONWEALTH FINANCIAL NETWORK

BD
CRD#: 8032
VIRGINIA BEACH, VA
Past

August 31, 2001 - March 16, 2004

CREDIT UNION BROKERAGE SERVICES, INC.

BD
CRD#: 37548
AUBURN, MA
Past

March 2, 1990 - September 4, 2001

COMMONWEALTH FINANCIAL NETWORK

BD
CRD#: 8032
WALTHAM, MA
Past

August 30, 1989 - March 26, 1990

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
Past

June 19, 1984 - March 26, 1990

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
MEMPHIS, TN
Past

September 19, 1979 - July 12, 1984

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613

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".
H&
HENLEY & COMPANY WEALTH MANAGEMENT LLC
HENLEY & COMPANY WEALTH MANAGEMENT LLC | HENLEY CAPITAL MANAGEMENT, INC. | HENLEY CAPITAL MANAGEMENT

CRD#: 144884 / SEC#: 801-77007

RIA
Registered Investment Advisory firm - (8/14/2012 Approved)
New York
Registered Investment Advisory firm - (8/22/2012 Terminated)
Virginia
Registered Investment Advisory firm - (8/22/2012 Terminated)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 2/16/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/1/1980
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/15/1979
General Securities Representative Examination

Current Firm

H&
HENLEY & COMPANY WEALTH MANAGEMENT LLC
HENLEY & COMPANY WEALTH MANAGEMENT LLC | HENLEY CAPITAL MANAGEMENT, INC. | HENLEY CAPITAL MANAGEMENT

CRD#: 144884 / SEC#: 801-77007

RIA
Registered Investment Advisory firm - (8/14/2012 Approved)
New York
Registered Investment Advisory firm - (8/22/2012 Terminated)
Virginia
Registered Investment Advisory firm - (8/22/2012 Terminated)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
506 Rxr Plaza, Uniondale, NY 11556
Mailing Address
Phone number
(516) 794-5520
Established
Firm type
Fiscal year end
# of Employees
6

SEC notice filing (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FIRM BROCHURE (3/13/2025)

Regulatory assets under management

Total Number of Accounts122
AUM (Assets Under Management)$ 96,072,449

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.

Company Information

HENLEY & COMPANY WEALTH MANAGEMENT LLC

CRD#: 144884

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