Thomas Brown is a CFP-designated registered investment advisor at LPL Financial LLC, based in Albany, NY, with 38 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
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.