James Michael Brown

Current Employers

Lpl Enterprise, Llc

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

Current Registrations

Authority	Category	Status	Date
MN	RA	APPROVED	2025-04-22

MN RA
APPROVED

Since 2025-04-22

Branch Locations

600 Highway 169 Suite 1000, St Louis Park, MN 55426 • 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 Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Prom Catering	Woodbury	MN	09/2015	06/2017
Bankers Life	Edina	MN	06/2017	03/2025
Bankers Life Securities, Inc	Edina	MN	03/2021	03/2025
Lpl Enterprise Llc	St Louis Park	MN	03/2025	Present

09/2015 → 06/2017

Prom Catering

Woodbury, MN
06/2017 → 03/2025

Bankers Life

Edina, MN
03/2021 → 03/2025

Bankers Life Securities, Inc

Edina, MN
03/2025 → Present

Lpl Enterprise Llc

St Louis Park, MN

Other Businesses

1. 06/16/2025 - Veritas Insurance Advisors - Non-Variable Insurance - Farmington, MN - INV REL - Start Date 06/11/2025 - 5hrs/mth

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2025-04-21
S63	Uniform Securities Agent State Law Examination	2021-10-09

S65 Uniform Investment Adviser Law Examination

2025-04-21
S63 Uniform Securities Agent State Law Examination

2021-10-09

Other Names

James Michael Brown
James Michael Brown

View on SEC IAPD