Thomas Brown is a CFP-designated registered investment advisor, based in River Falls, WI, with 44 years of industry experience.
Location
River Falls, WI
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Thomas works as an agent/broker for North Star Consultants & North Star Brokerage, selling fixed insurance. This activity takes about 10-20% of his time and is not investment related.
Employment History
Current Registrations
Cetera Investment Advisers LLC
August 2023 - Present · 2 yrs 9 mos
Cetera Wealth Services, LLCBroker
August 2023 - Present · 2 yrs 9 mos
Previous Registrations
Securian Financial Services, INC.
December 2013 - August 2023 · 9 yrs 8 mos
Cri Securities, LLC
October 2008 - October 2021 · 13 yrs
Marathon Advisors, INC
January 2008 - September 2008 · 8 mos
Marathon Advisors, INC
August 2001 - December 2007 · 6 yrs 4 mos
Securian Financial Services, INC.Broker
June 1991 - August 2023 · 32 yrs 2 mos
Cri Securities, LLCBroker
September 1988 - October 2021 · 33 yrs 1 mo
Consolidated Resources, INC.Broker
September 1983 - September 1988 · 5 yrs
Fdi Securities, INC.Broker
March 1982 - September 1983 · 1 yr 6 mos
State Registrations22 states
AZCACOFLGAIAILKSMNMONDNENVNYOHORPATNTXVAWAWI
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.