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Clifford Lee roy Brown

Charles Schwab & CO., Inc.

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About Clifford Lee roy Brown

Clifford Lee roy Brown is a registered investment advisor representative with Charles Schwab & CO., Inc. Clifford has been in the securities industry since 2007. Clifford has passed the Series 63, Series 66, Series 7, and SIE exams and holds registrations in Colorado and Kentucky. Clifford has previously been employed by Fidelity Brokerage Services LLC and Citigroup Global Markets Inc.. Clifford also owns a wellness business called Prime Vibes Meditation and is a brand ambassador for Raw Nutrition.

Firm Information

Clifford Brown is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

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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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

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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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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Clifford Brown’s Registration & Firm History

KY

01/09/2022 - Present

Charles Schwab & CO., Inc. (Butler KY)

CO

12/21/2010 - 01/06/2021

FIDELITY BROKERAGE SERVICES LLC (GREENWOOD VILLAGE CO)

KY

05/29/2007 - 10/13/2010

CITIGROUP GLOBAL MARKETS INC. (FLORENCE KY)

KY

04/18/2007 - 05/29/2007

CITICORP INVESTMENT SERVICES (FLORENCE KY)

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Licenses & Designations

BOTH

Issued 08/09/2016

Series 66 - Uniform Combined State Law Examination

BC

Issued 05/07/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/17/2007

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Clifford Lee roy Brown.
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