Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Lee Brown is a financial advisor with LPL Financial LLC. David has been in the financial services industry since November 3, 1989. David currently holds Series 6, 7, and 66 licenses as well as registrations in Texas and Virginia. David was previously registered with J.P. Morgan Securities LLC, Chase Investment Services Corp., BANC ONE SECURITIES CORPORATION, IFMG SECURITIES, INC., CAPITAL BROKERAGE CORPORATION, UNITED FINANCIAL MARKETS, INC., TOUCHSTONE SECURITIES, INC., GNA SECURITIES, INC., and ISFA CORPORATION. David provides portfolio management, financial planning and other non-discretionary advisory services to a wide range of clients, including high-net-worth individuals, businesses, and retirement plans.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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TX
09/12/2020 - Present
LPL Financial LLC (HOUSTON TX)
TX
10/01/2012 - 10/15/2015
J.P. MORGAN SECURITIES LLC (HOUSTON TX)
TX
07/06/2005 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (HOUSTON TX)
IL
06/28/2004 - 07/06/2005
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
NY
02/10/1998 - 05/12/2004
IFMG SECURITIES, INC. (PURCHASE NY)
VA
01/05/1996 - 02/26/1998
CAPITAL BROKERAGE CORPORATION (GLEN ALLEN VA)
TX
01/03/1995 - 07/31/1995
UNITED FINANCIAL MARKETS, INC. (HOUSTON TX)
OH
12/23/1992 - 12/31/1994
TOUCHSTONE SECURITIES, INC. (CINCINNATI OH)
OH
10/01/1992 - 12/16/1992
TOUCHSTONE SECURITIES, INC. (CINCINNATI OH)
VA
09/14/1989 - 10/07/1992
GNA SECURITIES, INC. (GLEN ALLEN VA)
WI
11/09/1988 - 04/17/1989
ISFA CORPORATION (APPLETON WI)
BOTH
Issued 03/01/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/09/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/29/1995
Series 7 - General Securities Representative Examination
BC
Issued 11/08/1988
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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