Thomas Brown is a CFP-designated registered investment advisor at LPL Financial LLC, based in Albany, NY, with 39 years of industry experience. Thomas 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.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
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
Location
652 Albany Shaker Road, Albany, NY, 12211
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Regulatory History
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 is an independent insurance agent for various companies since 1984, and also owns BrownFarms, LLC and Tall Pine Corp. He also owns WA-A-WE Sportsmans Club and is an investment advisor representative with Brown Financial Management Group, dedicating nearly full-time hours to the latter.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Brown Financial Management Group, LLC
Cambridge Investment Research, INC.Broker
Securities America, INC.Broker
Walnut Street Securities, INC.Broker
Walnut Street Securities, INC.
Nathan & Lewis Securities, INC.
Nathan & Lewis Securities, INC.Broker
Royal Alliance Associates, INC.Broker
Integrated Resources Equity CorporationBroker
Berkshire Equity Sales, INC.Broker
State Registrations14 states
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
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