Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Alan Brown is a financial advisor with RBC Capital Markets, LLC, located in Clive, IA. James has been in the industry since 1994 and is registered with the state of Iowa as well as with the Financial Industry Regulatory Authority (FINRA). James holds the Series 7, Series 63, Series 66, and Series 57TO licenses. James is also registered with the state of Texas. James has previous experience with A. G. Edwards & Sons, Inc., also located in West Des Moines, IA. James's background includes experience with both public and private employee benefit plans, endowment funds, foundations, family trusts, and various capital and operating funds. James has a strong track record of providing financial planning and investment advice to a wide range of clients.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
IA
02/05/2015 - Present
RBC Capital Markets, LLC (CLIVE IA)
IA
10/24/1994 - 08/21/2007
A. G. EDWARDS & SONS, INC. (WEST DES MOINES IA)
BOTH
Issued 10/26/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/31/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/21/1994
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure James Brown is the right advisor for you? Invested Better is here to help.
