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Current Employers
J M Brown Financial Partners

7060 S. Yale Suite 701, Tulsa, OK 74136-5740 • United States

Current Registrations

AuthorityCategoryStatusDate
OK RA APPROVED 2005-11-14
  • OK RA
    APPROVED
    Since 2005-11-14

Branch Locations

7060 S. Yale Suite 701, Tulsa, OK 74136-5740 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
J M Brown & Associates, Inc. Tulsa OK 04/2002 Present
Purshe Kaplan Sterling Investments Albany NY 01/2012 Present
  • 04/2002 → Present
    J M Brown & Associates, Inc.
    Tulsa, OK
  • 01/2012 → Present
    Purshe Kaplan Sterling Investments
    Albany, NY
Other Businesses

1) JM BROWN FINACIAL PARTNERS. - IT IS INVESTMENT RELATED-REGISTERED INVESTMENT ADVISOR, TITLE-FINANCIAL ADVISOR, 1/1/2013, 7060 S. YALE, SUITE 701, TULSA, OK 74136. PRESIDENT AND CHIEF COMPLIANCE OFFICER. FORMERLY JM BROWN AND ASSOCIATES. 2) PKS FINANCIAL SERVICES; INVESTMENT RELATED 80 STATE ST, ALBANY, NY 12207; FIXED INSURANCE; INSURANCE AGENT; SALES & SERVICE OF FIXED LIFE INSURANCE & ANNUITY CONTRACTS START DATE: 1/12/12 3) Lifestyle Protection Inc. Insurance Agency; Investment Related; 7060 S. Yale Suite 701, Tulsa, OK 74136; Insurance Agency; Insurance Agent; 09/15/2021; 5 hrs/mo; 5 hrs during trading; As agent service existing policies and write new non-variable insurance contracts primarily with independent carriers. 4) AROMITO CAPITAL, LLC - LIMITED PARTNER. 0 HOURS. INVSETMENT MADE FEBRUARY 22, 2008 TULSA, OK 74114 5) Tato, LLC-Investment related-PO Box 650567, Dallas, TX 75265-TD Ameritrade-Manager 6) Roserock Investment Solutions 7060 S. Yale Suite 701, Tulsa, OK 74136. Third Party Investment Advisory Services . Owner of DBA. Investment related. Start 12/2022. 10 hours/8 hours/.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-11-04
S63 Uniform Securities Agent State Law Examination 1993-08-02
  • S65 Uniform Investment Adviser Law Examination
    2005-11-04
  • S63 Uniform Securities Agent State Law Examination
    1993-08-02

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