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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

ERIC ALAN BROWN

Advisor at LPL FINANCIAL LLC

RICHFIELD, WI

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Search this name across graphsid dfx:ria:726fd1de-8023-c0d4-354e-ca3f38d2a9bd

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Sep 16, 2005 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 14, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S63|S66
First exam: Sep 14, 2005
First registration: Sep 16, 2005
Dual registered: yes, broker-dealer
Other names: ERIC ALAN BROWN|ERIC ALAN BROWN
IAPD individual key: 1635294

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Nov 29, 2017	n/a	yes	RICHFIELD, WI	Current employment
INVESTMENT CENTERS OF AMERICA, INC.	Former SEC adviser	Jul 15, 2014	Nov 29, 2017	no	RICHFIELD, WI	Previous registration
RICHARDSON CAPITAL MANAGEMENT, LLC	Independent wealth	Nov 28, 2012	Jul 11, 2014	no	MENOMONEE FALLS, WI	Previous registration
ANNEX WEALTH MANAGEMENT, LLC	Independent wealth	Jun 15, 2011	Dec 18, 2012	no	BROOKFIELD, WI	Previous registration
THE MUTUAL FUND STORE	Former SEC adviser	Feb 14, 2006	Jul 12, 2011	no	WAUKESHA, WI	Previous registration
VALIC FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Sep 16, 2005	Jan 25, 2006	no	CHICAGO, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
INVESTMENT CENTERS OF AMERICA, INC.	LPL FINANCIAL LLC	Nov 29, 2017	Nov 29, 2017	0	Bulk transfer	Other
RICHARDSON CAPITAL MANAGEMENT, LLC	INVESTMENT CENTERS OF AMERICA, INC.	Jul 11, 2014	Jul 15, 2014	4	Firm change	Other
ANNEX WEALTH MANAGEMENT, LLC	RICHARDSON CAPITAL MANAGEMENT, LLC	Dec 18, 2012	Nov 28, 2012	-20	Firm change	Other
THE MUTUAL FUND STORE	ANNEX WEALTH MANAGEMENT, LLC	Jul 12, 2011	Jun 15, 2011	-27	Firm change	Other
VALIC FINANCIAL ADVISORS, INC.	THE MUTUAL FUND STORE	Jan 25, 2006	Feb 14, 2006	20	Firm change	Other

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Nov 29, 2017 to presentfactForm ADV
→ INVESTMENT CENTERS OF AMERICA, INC.Registered adviserregistration: previous registration
Jul 15, 2014 to Nov 29, 2017factForm ADV
→ RICHARDSON CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Nov 28, 2012 to Jul 11, 2014factForm ADV
→ ANNEX WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jun 15, 2011 to Dec 18, 2012factForm ADV
→ THE MUTUAL FUND STORERegistered adviserregistration: previous registration
Feb 14, 2006 to Jul 12, 2011factForm ADV
→ VALIC FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Sep 16, 2005 to Jan 25, 2006factForm ADV

Dated events

No dated event names this entity yet.