David Caldwell Brown

Current Employers

Employment History

• 01/1999 → Present
  Raymond James Financial Services, Inc.
  Newton, NC
• 01/2009 → Present
  Raymond James Financial Services Advisors, Inc
  Newton, NC
• 06/2014 → Present
  Planning Board For City Of Conover, Nc
  East,Conover, NC
• 06/2015 → Present
  Peoples Bank/Peoples Investment Services
  Newton, NC

Other Businesses

(1)Name of Business: Brown Address: 710 Painted Feather Lane NW, Conover, NC, 28613, United States Activity Type: Control Person Position/Title: Trustee (Acting), Executor (Acting) Investment Related: Yes Start Date: 12/05/2025 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: I am executor/trustee for my deceased father's estate/trust and will be responsible for liquidating/distributing the estate. (2)Name of Business: Conover Planning Board Address: 101 1st Street East, Conover, NC, 28613, United States Activity Type: Other Position/Title: Other Investment Related: No Start Date: 06/30/2014 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Primarily review zoning issues with the city and make non-binding recommendations to city council. Position is appointed by city council for a 4 year term. (3)Name of Business: Peoples Bank/Peoples Investment Services Address: 518 West C Street, Newton, NC, 28658, United States Activity Type: Bank or Credit Union Associate Position/Title: Associate/Employee Investment Related: Yes Start Date: 06/30/2015 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Financial Advisor. Recommending and selling appropriate financial products to clients. (4)Name of Business: Wilkes Broadcasting Company, Inc. Address: 710 Painted Feather Lane NW, Conover, NC, 28613, United States Activity Type: Board Member, Board Subcommittee Member, Officer, or Director Position/Title: Officer - President Investment Related: No Start Date: 01/06/2026 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Wilkes Broadcasting Co. is a radio station owned by my deceased father that is being listed for sale. I will replace my father as President in order to engage a sales broker and consummate the ultimate sale of business. I will not be involved in daily operations, which are handled by the business's operations manager. Business is solely owned by my deceased father's trust, of which I am now trustee (OBA approved). Company does not have any brokerage accounts or securities. (5)Name of Business: Wilkes Broadcasting Company, Inc. Address: 405 C Street, North Wilkesboro, NC, 28659, United States Activity Type: Board Member, Board Subcommittee Member, Officer, or Director Position/Title: Officer - Secretary Investment Related: No Start Date: 06/08/2016 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Wilkes Broadcasting Company, Inc. is my father's business (radio station) and I am listed as Secretary/Treasurer for emergency back-up in the event he became incapacitated or passed away.

Exams

• S63 Uniform Securities Agent State Law Examination
  1994-07-08
• S65 Uniform Investment Adviser Law Examination
  1994-07-08