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Frank Brown

LPL Financial LLC
39 Years of Experience
Syracuse, NY
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Frank Brown is a ChFC-designated registered investment advisor at LPL Financial LLC, based in Syracuse, NY, with 39 years of industry experience. Frank is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

100 Madison Street, Suite 1300, Syracuse, NY, 13202

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
January 2021
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Frank is a sole proprietor involved in insurance sales, including fixed annuities, life/health, and LTC, dedicating about 10-20% of his time. He is also a 50% owner and corporate officer of Paragon Financial Group, Inc., spending minimal time on this tax-related entity.

Employment History
Current Registrations
LPL Financial LLC
July 2025 - Present · 1 yr 3 mos
LPL Financial LLCBroker
July 2025 - Present · 1 yr 3 mos
Previous Registrations
Cadaret Grant & CO INC
December 2023 - July 2025 · 1 yr 7 mos
Cadaret, Grant & CO., INC.Broker
December 2023 - July 2025 · 1 yr 7 mos
Woodbury Financial Services, INC.
October 2017 - December 2023 · 6 yrs 2 mos
Woodbury Financial Services, INC.Broker
October 2017 - December 2023 · 6 yrs 2 mos
National Planning Corporation ("npc of America" in Fl & Ny)
March 2009 - October 2017 · 8 yrs 7 mos
National Planning Corporation ("npc of America" in Fl & Ny)
January 2009 - January 2009 · 0 mos
National Planning CorporationBroker
January 2009 - October 2017 · 8 yrs 9 mos
Sagepoint Financial, INC.
November 2005 - January 2009 · 3 yrs 2 mos
Sagepoint Financial, INC.Broker
October 2005 - January 2009 · 3 yrs 3 mos
Sunamerica Securities, INC.Broker
November 1995 - October 2005 · 9 yrs 11 mos
W. S. Griffith & CO., INC.Broker
August 1994 - November 1995 · 1 yr 3 mos
Painewebber IncorporatedBroker
March 1994 - August 1994 · 5 mos
W. S. Griffith & CO., INC.Broker
June 1993 - March 1994 · 9 mos
Phoenix Equity Planning CorporationBroker
September 1990 - June 1993 · 2 yrs 9 mos
Sun Investment Services CompanyBroker
January 1990 - August 1990 · 7 mos
Berkshire Equity Sales, INC.Broker
September 1989 - February 1990 · 5 mos
Transamerica Securities Sales CorporationBroker
March 1987 - December 1989 · 2 yrs 9 mos
Transamerica Financial Resources, INC.Broker
October 1986 - December 1989 · 3 yrs 2 mos
State Registrations39 states
ALAZCACODEFLGAIAIDILINKSLAMAMDMEMIMNMOMSMTNCNDNENJNMNVNYOHOKORPASCSDTXUTVAWAWY
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.
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