Nicholas C Brown

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
SC	RA	APPROVED	2026-01-14
AR	RA	APPROVED	2025-01-07
MS	RA	APPROVED	2025-01-07
TX	RA	APPROVED_RES	2013-09-25

SC RA
APPROVED

Since 2026-01-14
AR RA
APPROVED

Since 2025-01-07
MS RA
APPROVED

Since 2025-01-07
TX RA
APPROVED_RES

Since 2013-09-25

Branch Locations

Daniel Island, SC • United States

425 West Capitol Ave Ste 221 Metropolitan Building, Little Rock, AR 72201 • 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

Organization	City	State	From	To
Lpl Financial Llc	Little Rock	AR	12/2012	Present

12/2012 → Present

Lpl Financial Llc

Little Rock, AR

Previous Registrations

2010-05-21 → 2012-12-20

Securities America Advisors, Inc.

Ridgeland, MS

Little Rock, AR

Other Businesses

1. 10/6/2014 - BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES ONLY - BROWN-HOGUE LLC - COMMISSIONS THROUGH LPL FINANCIAL AS AN INDEPENDENT ADVISOR. - 0 HOURS PER MONTH - LITTLE ROCK, AR. 2. 4/10/2017 - No Business Name - Investment Related - 5424 Country Club Blvd. Little Rock, Ar. 72207 - Real Estate Rental - Start 04/10/2017 - 0 Hours Per Month - Renting out space in current residence. 3. 12/8/2017 - TNBC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Dated 12/06/2017 - 0 Hours Per Month - LTC insurance. 4. 11/04/2022 - No Business Name - Investment Related - Fort Lauderdale, Florida - Insurance Agency - Start Date - 01/03/2023 - 2 Hours Per Month/0 Hours During Securities Trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2010-05-10

S66 Uniform Combined State Law Examination

2010-05-10

View on SEC IAPD