Steven Robert Brown

Employer firm

Independent Financial Group, LLC CRD 7717

$12.9B regulatory AUM 301 advisory clients

Reported services (Item 5G)

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

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

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

Current Employers

Employment History

• 12/2015 → 01/2018
  Capital One Investing
  Commack, NY
• 12/2015 → 01/2018
  Capital One Advisors, Llc
  Commack, NY
• 01/2018 → 07/2019
  Lpl Financial Llc
  East Meadow, NY
• 01/2018 → 07/2019
  Sterling National Bank
  East Meadow, NY
• 01/2020 → Present
  Independent Financial Group
  Commack, NY
• 07/2019 → Present
  Network Investment Advisors, Inc.
  Commack, NY

Previous Registrations

• 2018-01-18 → 2019-07-22
  Lpl Financial Llc
  Melville, NY
  East Meadow, NY
  Middle Village, NY
  Allentown, PA
  Jericho, NY
  East Meadow, NY
• 2016-01-06 → 2018-01-26
  Capital One Advisors, Llc
  Mclean, VA
• 2012-01-30 → 2014-09-23
  Hsbc Securities (Usa) Inc.
  Garden City, NY
  Syosset, NY
  Jericho, NY
• 2010-11-09 → 2012-01-19
  Lpl Financial Llc
  Forest Hills, NY
• 2010-07-27 → 2010-10-12
  Chase Investment Services Corp.
  Astoria, NY
• 2006-06-07 → 2008-02-01
  Hsbc Securities (Usa) Inc.
  West Babylon, NY
  Smithtown, NY
  Commack, NY
  Commack, NY
  Bay Shore, NY
• 1999-03-31 → 2005-08-02
  Chase Investment Services Corp.
  Brooklyn, NY

Other Businesses

(1) NETWORK INVESTMENT ADVISORS POSITION: Employee NATURE: Outside Registered Investment Advisor/Outside IAR INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 07/01/2019 ADDRESS: 353 Veterans Hwy, Ste. 210, Commack NY 11725, United States DESCRIPTION: Registered admin at SEC registered investment advisor (2) NETWORK CAPITAL SERVICES INC. POSITION: Employee NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 07/01/2019 ADDRESS: 353 Veterans Hwy, Ste. 210, Commack NY 11725, United States DESCRIPTION: Registered Assistant (3) NOTARY PUBLIC POSITION: Employee NATURE: Other: INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/09/2019 ADDRESS: 353 Veterans Hwy, Ste. 210, Commack NY 11725, United States DESCRIPTION: I am a notary public in the state of New York. Occasionally clients come into the office to have documents notarized. NETWORK INVESTMENT ADVISORS POSITION: Employee NATURE: Outside Registered Investment Advisor/Outside IAR INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 07/01/2019 ADDRESS: 353 Veterans Hwy, Ste. 210, Commack NY 11725, United States DESCRIPTION: admin at SEC registered investment advisor

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-10-10
• S63 Uniform Securities Agent State Law Examination
  1992-04-29