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James Alan Brown

Sycamore Financial Advisors, Inc.

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About James Alan Brown

James Alan Brown has been in the financial services industry since 1973. He is a registered representative with Sycamore Financial Advisors, Inc. in Nashville, Tennessee and has a Series 63, Series 65 and Series 8 license. James has previously worked for various financial institutions, including Wells Fargo Advisors, LLC, First Union Capital Markets Corp., Legg Mason Wood Walker, Incorporated, and The Robinson-Humphrey Company Inc. James is a specialist in Portfolio Management for Individuals and Financial Planning.

Firm Information

James Brown is currently registered with Sycamore Financial Advisors, Inc.. Sycamore Financial Advisors, Inc. is a registered investment advisor with approximately $88.2 million in regulatory assets under management. They provide financial planning and portfolio management services for individuals, high-net-worth individuals, charitable organizations, and pension and profit-sharing plans. They have a team of 3 licensed agents and 4 investment advisor representatives.

$88.25M

Assets Under Management

200

Total Clients

5

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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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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percentage of assets

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

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James Brown’s Registration & Firm History

TN

04/03/2017 - Present

Sycamore Financial Advisors, Inc. (Nashville TN)

TN

10/01/1999 - 10/03/2016

WELLS FARGO ADVISORS, LLC (BRENTWOOD TN)

NC

01/28/1999 - 10/01/1999

FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)

MD

05/25/1994 - 02/01/1999

LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)

GA

01/09/1984 - 06/01/1994

THE ROBINSON-HUMPHREY COMPANY INC. (ATLANTA GA)

NA

07/02/1973 - 07/13/1974

WILEY BROS. INC.

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Licenses & Designations

IA

Issued 09/15/1992

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 04/29/1985

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/06/1999

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 10/03/2016

SIE - Securities Industry Essentials Examination

BC

Issued 05/05/1977

PC - AMEX Put and Call Exam

BC

Issued 06/26/1973

Series 1 - Registered Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are 2 public disclosures for James Alan Brown. Review regulatory record here.
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