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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)39 years in industry

THOMAS JAMES BROWN

Advisor at LPL FINANCIAL LLC

ALBANY, NY

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Search this name across graphsid dfx:ria:856b7dc1-59d2-012a-0725-48cdf39de52f

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

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Feb 12, 1993 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: Mar 16, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Mar 16, 1987
First registration: Feb 12, 1993
Dual registered: yes, broker-dealer
Other names: THOMAS J BROWN
IAPD individual key: 1614783

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	Oct 29, 2025	n/a	yes	ALBANY, NY	Current employment
BROWN FINANCIAL MANAGEMENT GROUP, LLC	Former SEC adviser	Apr 4, 2021	Dec 31, 2025	no	LATHAM, NY	Previous registration
WALNUT STREET SECURITIES, INC.	Former SEC adviser	Aug 1, 2003	Sep 5, 2003	no	ST. LOUIS, MO	Previous registration
NATHAN & LEWIS SECURITIES, INC.	n/a	Feb 12, 1993	Aug 1, 2003	no	ALBANY, NY	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
BROWN FINANCIAL MANAGEMENT GROUP, LLC	LPL FINANCIAL LLC	Dec 31, 2025	Oct 29, 2025	-63	Firm change after gap	RIA to ibd
WALNUT STREET SECURITIES, INC.	BROWN FINANCIAL MANAGEMENT GROUP, LLC	Sep 5, 2003	Apr 4, 2021	6,421	Firm change after gap	Other
NATHAN & LEWIS SECURITIES, INC.	WALNUT STREET SECURITIES, INC.	Aug 1, 2003	Aug 1, 2003	0	Bulk transfer	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Oct 29, 2025 to presentfactForm ADV
→ BROWN FINANCIAL MANAGEMENT GROUP, LLCRegistered adviserregistration: previous registration
Apr 4, 2021 to Dec 31, 2025factForm ADV
→ WALNUT STREET SECURITIES, INC.Registered adviserregistration: previous registration
Aug 1, 2003 to Sep 5, 2003factForm ADV
→ NATHAN & LEWIS SECURITIES, INC.Registered adviserregistration: previous registration
Feb 12, 1993 to Aug 1, 2003factForm ADV

Dated events

Occurred
Dec 31, 2025
Advisor changed firm
Thomas James Brown left Brown Financial Management Group, Llc for Lpl Financial Llc (registered 2025-10-29)
Form ADVobserved 5 days ago