Thomas Brown

Brown Financial Management Group LLC

950 New Loudon Rd
Suite 105

Latham, NY 12110

518-464-9974

About Brown Financial Management Group LLC

........

General Information

Firm Start Year

1986

No.of Employees

CRD#

1614783

Firm CRD#

282501

Insurance License#

LA-673474

Name of Broker/Dealer

Cambridge Investment Research, Inc.

Name of Custodial Firm

National Financial Services, LLC

States Licensed in

CT, FL, IL, MD, NC, NY, PA, SC.

Years of Experience in Financial Services

Number of Years with Current Firm

Work Experience

The founder of our firm, Thomas J. Brown, CFP®, is a CERTIFIED FINANCIAL PLANNER TM with over 35 years of financial experience. He received his certification in November 1992 and has also established his own Registered Investment Advisor (RIA) Firm. Brown Financial Management Group, LLC was established in 2017.

Work with the following types of clients

Trusts and Estates, Businesses, Individual Investors

Foreign Languages Serviced

None

Advisory Services Provided

Portfolio Management, Retirement Planning, Wealth Management, Money Management, Risk Management, Education Funding and Planning, Financial Advice & Consulting, Financial Planning for Individuals, Financial Planning for Businesses, Investment Advice & Management, Insurance Products & Annuities, Financial Planning

Services

Investment Types

Stocks, Insurance, Annuities, Exchange Traded Funds (ETFs), Bonds, Mutual Funds, Socially Responsible Investments (SRI)

Can meet clients in the following ways

Your Office, Our Office, Your Home

Compliance

Registered Investment Advisor

Yes

Registered Representative

Yes

Investment Advisor Representative

Yes

Compliance Disclosures in Last 5 years

Have a clean record

Criminal Disclosures in Last 5 years

Have a clean record

Qualifications & Membership

Certifications, Accreditations & Designations

CFP^®, CERTIFIED FINANCIAL PLANNER

Securities Licenses

Series 7, Series 6, Series 63

Insurance and Annuity Licenses

Variable Life, Variable Annuity, Long Term Care, Life, Health, Disability, Annuity

Financial Organization Memberships

Financial Services Institute, Financial Planning Association (FPA)

Firm Information

Firm's Number of Clients

130

Firm's Number of Planning Clients

105

Firm's Number of Managed Clients

105

Assets Managed by Firm

40,831,751

Advisor's Number of Clients

135

Advisor's Number of Managed Clients

Advisor's Number of Planning Clients

Assets Managed by Advisor

51,209,233

Compensation and Fees

Fee Structure

Fee-Based

Minimum Portfolio Size for New Managed Accounts

Compensation Methods

Based on Assets

Fee % Based on Assets

varies

Hourly Rate

$195

Flat Fee Rate

varies

Additional Details on Charges

None

Minimum Fee Charged for Managed Accounts

Minimum Fee Charged for Hourly Planning Accounts

Minimum Fee Charged for Flat Fee Accounts

Disclosures

www.thomasjbrown.com

Disclaimer

*Registered Representative, Securities offered through Cambridge Investment Research, Inc., a Broker/Dealer; Member FINRA/SIPC. Investment Advisor Representative, Thomas J. Brown, Brown Financial Management Group, LLC a Registered Investment Advisor. Cambridge Investment Research, Inc. and Brown Financial Management Group, LLC are not affiliated.

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