Cecilia Beach Brown

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
MD	RA	APPROVED	2025-01-01

MD RA
APPROVED

Since 2025-01-01

Branch Locations

1410 Forest Drive Ste 28, Annapolis, MD 21403 • United States

4707 Executive Dr, San Diego, CA 92121-3091 • United States

Clock Tower Place 1410 Forest Drive Suite 28, Annapolis, MD 21401 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Lincoln Financial Securities Corporation	Annapolis	MD	07/2008	05/2024
Lpl Financial	Annapolis	MD	05/2024	Present

07/2008 → 05/2024

Lincoln Financial Securities Corporation

Annapolis, MD
05/2024 → Present

Lpl Financial

Annapolis, MD

Previous Registrations

2006-01-04 → 2024-05-16

Osaic Fs, Inc.

White Marsh, MD

Annapolis, MD

Annapolis, MD
2006-02-14 → 2011-10-20

Independent Advisers Group Corp

Columbia, MD

Boston, MA
1999-02-08 → 2006-01-04

Ameriprise Financial Services, Llc

Annapolis, MD

Other Businesses

1- 05/2024 / C. Beach Brown, LLC / Non-Variable Insurance / Investment Related / 1 hr mth / 1 hr during trading / Start date: 08/05/2009 2- 05/2024 / C. Beach Brown, LLC / Business Entity For Tax/Investment Purposes Only / Investment Related / 128 hrs mth / 8 hrs during trading / Start date: 08/05/2009 3- 05/2024 / C. Beach Brown, LLC / DBA for LPL Business (entity for LPL business) / Investment Related / 120 hrs mth / 30 hrs during trading / Start date: 08/05/2009 4- 05/2024 / C. Beach Brown, LLC / Act in a Fiduciary Capacity / Investment Related / 4 hrs mth / 1 hr during trading / Start date: 05/16/2024 5- 05/2024 / Jeffrey Brown / Business Owner / Not Investment Related / 1 hr mth / 0 hrs during trading / Star date: 05/16/2024

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	1999-01-26

S66 Uniform Combined State Law Examination

1999-01-26

Designations

Certified Financial Planner

Other Names

Cecilia B Cox
Cecilia Beach Cox
Cecilia Beach Cox
Cecilia Catherine Beach
Cecilia Beach Brown
Cecilia Catherine Brown

View on SEC IAPD