S BROWN AND ASSOCIATES, LLC
CRD #158625 SEC #801-72680 SAN FRANCISCO, CA 415-272-7927
SEC Registered
Total AUM
$11M
Discretionary
$11M
Employees
1
Clients
0
Accounts
10
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- California
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jan 14, 2013
- 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, SHAWN, EDWARD | I | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | E | Control |
| BROWN, SHAWN, EDWARD | I | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | E | Control |
| BROWN, SHAWN, EDWARD | I | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | E | Control |
| BROWN, SHAWN, EDWARD | I | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | E | Control |
| BROWN, SHAWN, EDWARD | I | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | E | Control |
| BROWN, SHAWN, EDWARD | I | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | E | Control |
| BROWN, SHAWN, EDWARD | I | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | E | Control |
Registrations
Federal
IA
Jan 14, 2013 REGISTERED
Address
1 MARKET STREET36 FLOOR
SAN FRANCISCO, CA 94105
United States
Phone: 415-272-7927