James M. Brown

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CRD#: 871191

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"?

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

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.

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

CRD#: 8032

VIRGINIA BEACH, VA

Past

August 31, 2001 - March 16, 2004

CREDIT UNION BROKERAGE SERVICES, INC.

CRD#: 37548

AUBURN, MA

Past

March 2, 1990 - September 4, 2001

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

WALTHAM, MA

Past

August 30, 1989 - March 26, 1990

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

Past

June 19, 1984 - March 26, 1990

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

MEMPHIS, TN

Past

September 19, 1979 - July 12, 1984

KIDDER, PEABODY & CO. INCORPORATED

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".

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/16/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/1/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 72

Date: 1/2/2023

Government Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/15/1979

General Securities Representative Examination

Current Firm

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)

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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

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE (3/13/2025)

Regulatory assets under management

Total Number of Accounts	122
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.

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Advisor Monitoring

Firm Stability Insights

James M. Brown

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HENLEY & COMPANY LLC

NEXT FINANCIAL GROUP, INC.

NEXT FINANCIAL GROUP, INC.

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

CREDIT UNION BROKERAGE SERVICES, INC.

COMMONWEALTH FINANCIAL NETWORK

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

KIDDER, PEABODY & CO. INCORPORATED

Primary Firm SEC Registration

HENLEY & COMPANY WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/16/2006

Series 63

Date: 5/1/1980

Series 72

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/15/1979

Current Firm

HENLEY & COMPANY WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HENLEY & COMPANY WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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