THOMAS JAMES BROWN
Legal name: BROWN FINANCIAL MANAGEMENT GROUP
CRD #142898 SEC #801-80897 LATHAM, NY 518-464-9974
SEC Registered
Total AUM
$36.2M
Discretionary
$36.2M
Employees
1
Clients
1
Accounts
104
Firm Details
- Organization Type
- Sole Proprietorship
- State of Formation
- New York
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jan 17, 2015
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BROWN, THOMAS, JAMES | I | SOLE PROPRIETOR/CHIEF COMPLIANCE OFFICER | E | Control |
| BROWN, THOMAS, JAMES | I | SOLE PROPRIETOR/CHIEF COMPLIANCE OFFICER | E | Control |
Registrations
Federal
IA
Jan 17, 2015 REGISTERED
Notice Filings (1)
NY
Address
950 NEW LOUDON ROADSUITE 105
LATHAM, NY 12110
United States
Phone: 518-464-9974