Rosalyn Kristina Brown

Employer firm

Principal Securities, Inc. CRD 1137

$17.0B regulatory AUM 1,717 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2016 → 05/2019
  Pnc Funds Distributor, Llc
  Washington, DC
• 12/2015 → 05/2019
  Pnc Capital Advisors, Llc
  Washington, DC
• 05/2019 → 08/2021
  Newport Group, Inc.
  Walnut Creek, CA
• 05/2019 → 08/2021
  Newport Group Securities, Inc.
  Lake Mary, FL
• 04/2021 → 08/2021
  Newport Group Consulting
  Lake Mary, FL
• 08/2021 → 09/2024
  Pnc Capital Markets, Llc
  Washington Dc, DC
• 08/2021 → 09/2024
  Pnc Capital Advisors, Llc
  Washington, DC
• 09/2024 → Present
  Principal Securities, Inc.
  Washington, DC
• 09/2024 → Present
  Principal Life Insurance Company
  Washington, DC

Previous Registrations

• 2022-01-10 → 2024-10-02
  Pnc Capital Advisors Llc
  Washington, DC
• 2021-05-26 → 2021-07-15
  Newport Group Consulting, Llc
  Washington, DC
  Lake Mary, FL
• 2016-03-09 → 2019-05-08
  Pnc Capital Advisors Llc
  Washington, DC
• 2012-06-26 → 2015-12-04
  Bb&T Institutional Investment Advisers, Inc.
  Greenville, SC
• 2006-12-20 → 2012-05-11
  Bb&T Investment Services, Inc.
  Charlotte, NC
  Charlotte, NC
  Fayetteville, GA
  Peachtree City, GA
  Peachtree City, GA
  Charlotte, NC

Other Businesses

**WIPN (WOMEN IN PENSION NETWORK) POSITION: President NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2024 ADDRESS: 1215 Simms Pl NE, Washington DC 20002, United States DESCRIPTION: President of WIPN and organization for women in the retirement industry. I lead the board and coordinate with the advisory board in planning and future efforts. **JUVEN POSITION: Rental Property NATURE: Real Estate Rental Income INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/26/2021 ADDRESS: 1215 Simms Pl NE, Washington DC 20002, United States DESCRIPTION: Management of rental property. **BEANJO POSITION: Rental Property NATURE: Real Estate Rental Income INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2023 ADDRESS: 1215 Simms Pl NE, Washington DC 20002, United States DESCRIPTION: Rental property. **SOW INCLUSIVE POSITION: Speaker NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 06/14/2023 ADDRESS: 1215 Simms Pl NE, Washington DC 20002, United States DESCRIPTION: I speak to groups on the benefits of having an inclusive team and how to engage diverse audiences. CFP BOARD/ VITA (VOLUNTEER INCOME TAX ASSISTANCE) POSITION: VITA (Volunteer Income Tax Assistance) NATURE: CPA/Accounting Services/Tax Preparation INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 12/29/2025 ADDRESS: 1215 Simms Pl NE, #4, Washington DC 20002, United States DESCRIPTION: This is a volunteer opportunity through the CFP Board that would also allow me to earn CE credit Dear Rosalyn, Are you looking for a meaningful way to give back while earning continuing education credits and pro bono hours? The IRS and its network of partner organizations are looking for dedicated financial professionals like you to volunteer for their VITA (Volunteer Income Tax Assistance) and TCE (Tax Counseling for the Elderly) programs. These programs offer free tax help to low- to moderate-income individuals, seniors and underserved communities and your expertise can make a real difference. By volunteering, you can:Earn up to 18 CFP Board-approved CE credits Accumulate pro bono financial planning hours Enhance your tax knowledge and communication skills Support individuals and families in need of trusted financial guidance All volunteers complete a 1.5-hour training, with sessions available from November through January. Volunteers then serve between February and mid-April, with flexible scheduling based on our availability and preferred location (in-person or virtual options may be available). Whether you're helping prepare tax returns or providing quality review, your time and talent are highly valued. Thank you for considering this opportunity to serve your community while continuing your professional development. Warmly, Moley Evans, Director of Volunteer Engagement CFP Board Certified

Exams

• S63 Uniform Securities Agent State Law Examination
  2016-04-26
• S65 Uniform Investment Adviser Law Examination
  2006-12-19

Designations

• Certified Financial Planner

Other Names

• Rosalyn Kristina Brown
• Rosalyn Brown