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Vernon Duane Brown

Wells Fargo Clearing Services, LLC

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About Vernon Duane Brown

Vernon Duane Brown is a registered investment advisor representative with Wells Fargo Clearing Services, LLC. Vernon has been in the industry since August 15, 1994, and is licensed in 20 states. Vernon is a licensed broker-dealer, and investment advisor representative. Vernon Duane Brown has held licenses with other firms in the past, including Morgan Stanley and Morgan Stanley DW Inc.. Vernon Duane Brown's current licenses include Series 63, 65, 7 and SIE, as well as Series 9 and 10. Vernon Duane Brown works in the Arcata, CA branch office of Wells Fargo Clearing Services, LLC.

Firm Information

Vernon Brown is currently registered with Wells Fargo Clearing Services, LLC. Wells Fargo Clearing Services, LLC is a Limited Liability Company formed in March 2003 and headquartered in St. Louis, Missouri. They offer a variety of investment advisory services, including financial planning, pension consulting, and portfolio management for individuals, businesses, and institutional clients. With over $10 billion to $50 billion in assets under management, the firm provides services to a diverse client base, including high-net-worth individuals, corporations, charitable organizations, pension plans, and state or municipal government entities. They are registered with the SEC and all 50 states.
Wells Fargo Clearing Services, LLC

ONE NORTH JEFFERSON AVENUE

ST. LOUIS, MO 63103-2205

$558.46B

Assets Under Management

5,927

Total Clients

17,168

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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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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investment consulting services to institutional clients

Investment consulting services to institutional clients

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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commissions

Earned based on transactions or products sold.

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percentage of assets

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

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Vernon Brown’s Registration & Firm History

CA

05/13/2019 - Present

Wells Fargo Clearing Services, LLC (ARCATA CA)

CA

06/01/2009 - 10/12/2016

MORGAN STANLEY (EUREKA CA)

CA

11/24/2008 - 06/01/2009

MORGAN STANLEY & CO. INCORPORATED (EUREKA CA)

CA

08/24/1992 - 11/27/2006

MORGAN STANLEY DW INC. (EUREKA CA)

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Licenses & Designations

IA

Issued 07/25/2001

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/09/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/12/2000

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 12/11/2000

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/20/1992

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Vernon Duane Brown.
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