Thomas Richard Brown

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

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

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

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

Current Employers

Employment History

• 09/1980 → 08/2023
  Minnesota Life Insurance Company
  St. Paul, MN
• 08/1983 → 08/2023
  Securian Financial Services, Inc.
  St. Paul, MN
• 08/1983 → 10/2021
  Cri Securities, Llc
  St Paul, MN
• 01/1998 → Present
  North Star Consultants, Inc. & North Star Brokerage, Inc.
  Minneapolis, MN
• 08/2023 → Present
  Cetera Wealth Services, Llc
  River Falls, WI
• 08/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 01/2017 → 03/2025
  Brown/North Financial Planning And Wealth Management
  Minneapolis, MN
• 08/2021 → 03/2025
  Advicelink Financial Advisors
  Minneapolis, MN
• 12/2025 → Present
  Brown Financial, Llc
  Minneapolis, MN

Previous Registrations

• 2013-12-20 → 2023-08-10
  Securian Financial Services, Inc.
  River Falls, WI
  Burnsville, MN
  Minneapolis, MN
  St. Paul, MN
• 2008-10-21 → 2021-10-18
  Cri Securities, Llc
  River Falls, WI
  Bursnville, MN
  Minneapolis, MN
• 2008-01-03 → 2008-09-10
  Marathon Advisors, Inc
  Minneapolis, MN
• 2001-08-07 → 2007-12-31
  Marathon Advisors, Inc
  Burnsville, MN

Other Businesses

1. NORTH STAR CONSULTANTS & NORTH STAR BROKERAGE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 10 START DATE: 01/01/1998 ADDRESS: , Burnsville MN , United States DESCRIPTION: Agent/Broker; 2. NAME OF OTHER BUSINESS: NORTH STAR RESOURCE GROUP, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 08/2023, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 3. NAME OF OTHER BUSINESS: BROWN FINANCIAL, LLC; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 12/2025, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams

• S63 Uniform Securities Agent State Law Examination
  1982-03-19

Designations

• Certified Financial Planner