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David Brown

Raymond James & Associates, INC.
38 Years of Experience
Chandler, AZ
1 DisclosureBroker
View SEC Summary
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David Brown is a registered investment advisor at Raymond James & Associates, INC., based in Chandler, AZ, with 38 years of industry experience. David is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 531,617 clients with $500B in assets under management.

Raymond James & Associates, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5819 advisors
Number of Clients
531,617 clients
Average Client Portfolio
$942K average
Assets Under Management
$501.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Fees are not to exceed an annual rate of 2.25% of the value of assets on which investment consulting services are provided. Specific fee schedules for wrap fee programs and managed accounts are detailed in the separate Wrap Fee Program Brochure.

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

Location

1490 S Price Rd, Suite 308, Chandler, AZ, 85286

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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.
Regulatory
December 1989
Final
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Raymond James & Associates, INC.
May 2013 - Present · 13 yrs 5 mos
Raymond James & Associates, INC.Broker
April 2013 - Present · 13 yrs 6 mos
Previous Registrations
Morgan StanleyBroker
June 2009 - May 2013 · 3 yrs 11 mos
Citigroup Global Markets INC.
March 2000 - February 2005 · 4 yrs 11 mos
Citigroup Global Markets INC.Broker
November 1993 - June 2009 · 15 yrs 7 mos
Vtr Capital, INC.Broker
April 1993 - November 1993 · 7 mos
R a F Financial CorporationBroker
May 1990 - April 1993 · 2 yrs 11 mos
B C Financial CorporationBroker
May 1989 - May 1990 · 1 yr
Adams Securities, INC.Broker
March 1989 - May 1989 · 2 mos
Power Securities CorporationBroker
July 1988 - February 1989 · 7 mos
State Registrations24 states
ALAZCACODEFLGAIDILINMAMDMNMTNCNMOHOKSCTXUTVAWAWV
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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