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Tiburon, CA • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2007-10-11 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ridley Asset Management Llc | Tiburon | CA | 06/2007 | Present |
| Harriet Brown & Co., Inc. | Mill Valley | CA | 01/1992 | Present |
Harriet Brown & Company, Inc. is a licensing business operated by members of my family. I have the position of Co-President and have been involved in this business since 1/1992. In my position I maintain the company's financials, pay invoices, and periodically oversee marketing efforts. It is a licensing business and is not investment-related. My time commitment to this business requires less than 4 hours/month and doesn't occur during securities trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-02-06 |
| S63 | Uniform Securities Agent State Law Examination | 1984-03-29 |
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