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Nick J Brown

THE Planning Group

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About Nick J Brown

Nick J. Brown is an investment advisor representative with The Planning Group in Northfield, Illinois. Nick has over 30 years of experience in the financial services industry. Nick has passed Series 6, 22, 63, and SIE exams, as well as the General Securities Principal Examination. Nick specializes in retirement planning and investment management.

Firm Information

Nick Brown is currently registered with THE Planning Group. THE Planning Group is a financial advisor based in NORTHFIELD, IL. The firm advises individuals, high-net-worth individuals, corporations, pension and profit sharing plans, and charitable organizations. They provide financial planning and portfolio management services. The firm has $207,368,715 in regulatory assets under management.
THE Planning Group

465 CENTRAL AVE

NORTHFIELD, IL 60093

$207.37M

Assets Under Management

5

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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Nick Brown’s Registration & Firm History

IL

10/17/2018 - Present

THE Planning Group (NORTHFIELD IL)

IL

08/18/2009 - 12/31/2018

CAMBRIDGE INVESTMENT RESEARCH, INC. (Northfield IL)

IL

01/02/1998 - 08/19/2009

WATERSTONE FINANCIAL GROUP, INC. (NORTHFIELD IL)

CA

07/30/1996 - 01/01/1998

TRANSAMERICA FINANCIAL RESOURCES, INC. (LOS ANGELES CA)

MA

02/24/1987 - 01/01/1992

LONG GROVE TRADING CO. (BOSTON MA)

NA

06/19/1968 - 02/23/1978

CNA INVESTOR SERVICES, INC.

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Licenses & Designations

BC

Issued 07/29/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/20/1968

Series 00 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/29/1996

Series 6 - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 02/23/1987

Series 22 - Direct Participation Programs Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Nick J Brown.
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