Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jay? Claim Your ProfileJay Thoburn Brown is a financial advisor currently registered with B. Riley Wealth Advisors, Inc. and has been in the industry since December 30, 1968. Jay has a long history of experience in the financial services industry, having previously worked at firms such as Southwest Securities, Inc., Morgan Stanley Smith Barney, Citigroup Global Markets Inc., Legg Mason Wood Walker, Incorporated, PaineWebber Incorporated, Rotan Mosle Inc., and J.C. Bradford & Co.. Jay holds a variety of licenses and certifications, including Series 7TO, Series 3, Series 4, Series 9, Series 10, Series 12, Series 24, Series 40, Series 53 and Series 63. Jay is also a registered Investment Advisor in the state of Texas.
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.
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
TX
07/28/2022 - Present
B. Riley Wealth Advisors, Inc. (Houston TX)
TX
06/22/2009 - 10/07/2015
SOUTHWEST SECURITIES, INC. (HOUSTON TX)
TX
06/01/2009 - 06/26/2009
MORGAN STANLEY SMITH BARNEY (HOUSTON TX)
TX
02/21/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (HOUSTON TX)
MD
07/08/1993 - 02/21/2006
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
NJ
01/01/1991 - 06/25/1993
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
05/12/1971 - 01/01/1991
ROTAN MOSLE INC.
NA
12/13/1968 - 05/05/1971
J.C. BRADFORD & CO.
BC
Issued 06/27/1979
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/12/1979
Series 4 - Registered Options Principal Examination
BC
Issued 11/28/1975
Series 12 - NYSE Branch Manager Examination
BC
Issued 11/14/1975
Series 40 - Registered Principal Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/20/1984
Series 3 - National Commodity Futures Examination
BC
Issued 09/06/1977
PC - AMEX Put and Call Exam
BC
Issued 12/10/1968
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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