Richard Brown is a registered investment advisor, based in Spring, TX, with 8 years of industry experience.
Location
Spring, TX
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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 →Employment History
Current Registrations
Cetera Investment Advisers LLC
September 2025 - Present · 10 mos
Cetera Advisors LLCBroker
September 2025 - Present · 10 mos
Cetera Financial Specialists LLCBroker
September 2025 - Present · 10 mos
Cetera Wealth Services, LLCBroker
September 2025 - Present · 10 mos
Cetera Investment Services LLCBroker
September 2025 - Present · 10 mos
Previous Registrations
Raymond James & Associates, INC.
May 2022 - September 2025 · 3 yrs 4 mos
Raymond James Financial Services Advisors, INC
May 2022 - September 2025 · 3 yrs 4 mos
Raymond James & Associates, INC.Broker
May 2022 - September 2025 · 3 yrs 4 mos
Raymond James Financial Services, INC.Broker
May 2022 - September 2025 · 3 yrs 4 mos
VALIC Financial Advisors, INC.
January 2022 - April 2022 · 3 mos
VALIC Financial Advisors, INC.Broker
February 2018 - April 2022 · 4 yrs 2 mos
State Registrations1 state
TX
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.