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Thomas James Brown

BROWN FINANCIAL MANAGEMENT GROUP, LLC·LATHAM, New York
SIE, Series 6, Series 7, Series 63, Series 65CFPClean record33 years registeredBROWN FINANCIAL MANAGEMENT GROUP, LLC
950 NEW LOUDON ROAD, LATHAM, NY 12110CRD# 1614783Firm CRD# 282501

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Thomas James Brown · LATHAM, NY
Registration
CRD #1614783 · BROWN FINANCIAL MANAGEMENT GROUP, LLC · 33 years registered
Brand Profile
Not yet started
01

Career History

LPL FINANCIAL LLC
Oct 2025 – present
BROWN FINANCIAL MANAGEMENT GROUP, LLC
Apr 2021 – Dec 2025
LATHAM, NY
WALNUT STREET SECURITIES, INC.
Aug 2003 – Sep 2003
ST. LOUIS, MO
NATHAN & LEWIS SECURITIES, INC.
Feb 1993 – Aug 2003
ALBANY, NY
02

Registrations & Exams

FINRA examinations passed
SIE
Series 6
Series 7
Series 63
Series 65
Registration record
First registered · February 12, 1993
Years registered · 33
Professional designation · CFP
03

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

04

Firm Overview

Firm
BROWN FINANCIAL MANAGEMENT GROUP, LLC
CRD 282501 · SEC 801-107128
AUM
$46M
Regulatory assets under management
Employees
2
84 client accounts
Services offered by BROWN FINANCIAL MANAGEMENT GROUP, LLC
Per Form ADV
Financial planning
Portfolio management (individuals)
Selection of other advisers
Other
Client types served by the firm
Per Form ADV
Individuals
High Net Worth Individuals
View all advisors at BROWN FINANCIAL MANAGEMENT GROUP, LLC →
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05

Frequently Asked Questions

What services does Thomas James Brown offer?
Thomas James Brown specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in LATHAM, New York for a consultation.
What are Thomas James Brown's credentials?
Thomas James Brown holds the following professional designations: CFP. These credentials require rigorous education, examination, and ongoing continuing education.
Where is Thomas James Brown located?
Thomas James Brown is based in LATHAM, New York, working with BROWN FINANCIAL MANAGEMENT GROUP, LLC. Their office serves clients in the LATHAM metropolitan area and surrounding communities.
How does Thomas James Brown charge for services?
Thomas James Brown's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is BROWN FINANCIAL MANAGEMENT GROUP, LLC?
BROWN FINANCIAL MANAGEMENT GROUP, LLC has approximately 2 employees and manages $46M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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