Christopher Dennis Brown

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2008-04-24
CA	RA	APPROVED	2007-07-06

TX RA
APPROVED_RES

Since 2008-04-24
CA RA
APPROVED

Since 2007-07-06

Branch Locations

10100 Trinity Pkwy., Ste 430, Stockton, CA 95219 • 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
Lpl Financial, Llc	Stockton	CA	07/2007	Present

07/2007 → Present

Lpl Financial, Llc

Stockton, CA

Other Businesses

(1) 05/01/2014: ECHELON WEALTH MANAGEMENT - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - INV REL - 10100 TRINITY PKWY., STE 430, STOCKTON, CA 95219 - 1% OF TIME SPENT

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-08-22
S63	Uniform Securities Agent State Law Examination	1994-01-07

S65 Uniform Investment Adviser Law Examination

2001-08-22
S63 Uniform Securities Agent State Law Examination

1994-01-07

Other Names

Chris Brown

View on SEC IAPD

Current Employers

Lpl Financial Llc

Disclosures

Employment History

Other Businesses

Exams

Other Names

Other Firms

Other Investors

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