Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Lawrence Brown is an Investment Advisor Representative with LaSalle St. Investment Advisors, LLC, a registered investment adviser with the SEC and a member of FINRA. Stephen has been in the financial industry since 1978 and has held various positions at several firms, including Western International Securities, Inc., First Allied Securities, Inc., and Round Hill Securities, Inc. Stephen is a Series 65 and 66 licensed advisor, and has Series 7, 3, 5 and 24 registrations. Stephen's focus is on providing individual and institutional clients with financial planning and portfolio management services.
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.
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
OR
04/02/2024 - Present
Lasalle ST. Investment Advisors, LLC (Portland OR)
OR
09/01/2006 - 04/05/2024
WESTERN INTERNATIONAL SECURITIES, INC. (Portland OR)
OR
06/13/2005 - 09/20/2006
FIRST ALLIED SECURITIES, INC. (PORTLAND OR)
CA
03/12/2002 - 06/13/2005
ROUND HILL SECURITIES, INC. (ALAMO CA)
CA
02/27/1998 - 03/11/2002
PIM FINANCIAL SERVICES, INC. (SAN MARCOS CA)
NY
03/20/1995 - 01/29/1998
NORTHEAST SECURITIES, INC. (MITCHELFIELD NY)
OH
11/02/1994 - 03/30/1995
MFI INVESTMENTS CORP. (BRYAN OH)
NY
11/30/1989 - 09/26/1994
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NA
03/31/1987 - 12/05/1989
LIVINGSTON SECURITIES, INC.
NA
08/12/1983 - 03/25/1987
A. G. EDWARDS & SONS, INC.
NA
10/15/1981 - 08/23/1983
SHEARSON/AMERICAN EXPRESS INC.
NA
11/05/1980 - 07/21/1981
DEVITO INVESTMENT CO.
NA
03/26/1980 - 11/27/1980
BELFORD HAMMERBECK, INC
NA
12/05/1977 - 04/17/1980
E. F. HUTTON & COMPANY INC
BOTH
Issued 09/11/2017
Series 66 - Uniform Combined State Law Examination
IA
Issued 01/29/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/24/1979
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/06/1996
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/04/1991
Series 3 - National Commodity Futures Examination
BC
Issued 10/17/1981
Series 5 - Interest Rate Options Examination
BC
Issued 11/19/1977
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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