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Carolyn K Brown

Prospera Financial Services, Inc.

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About Carolyn K Brown

Carolyn K. Brown is a registered representative with Prospera Financial Services, Inc. Carolyn is a securities professional with a focus on financial planning, investment management, and retirement planning. Carolyn holds the Series 7TO and SIE licenses. Carolyn is also a Registered Representative and has a specializations in Fixed Annuities, Mutual Funds, Variable Annuities, Variable Life Insurance, and Retirement Plans.

Firm Information

Carolyn Brown is currently registered with Prospera Financial Services, Inc.. Prospera Financial Services, Inc. is a corporation headquartered in Dallas, Texas. Founded in 1982, the firm provides financial planning, pension consulting, and portfolio management services for individuals, businesses, and pooled investment vehicles. With over 150 licensed agents and investment advisor representatives, Prospera manages over $9.8 billion in regulatory assets. The firm is registered with the SEC and in all 50 states.
Prospera Financial Services, Inc.

5429 LBJ FREEWAY

DALLAS, TX 75240

$9.81B

Assets Under Management

8

Total Clients

235

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

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other

Percentage of assets under review

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Carolyn Brown’s Registration & Firm History

NY

05/24/2024 - Present

Prospera Financial Services, Inc. (Buffalo NY)

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Licenses & Designations

BC

Issued 05/23/2024

Series 7TO - General Securities Representative Examination

BC

Issued 05/24/2022

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Carolyn K Brown.
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