Alphonso Alexander Brown

Employer firm

Principal Securities, Inc. CRD 1137

$17.0B regulatory AUM 1,717 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

• 06/2020 → 01/2025
  New York Life Insurance Company
  Rego Park, NY
• 05/2019 → 06/2020
  Unemployed
  Brooklyn, NY
• 12/1989 → 05/2019
  Morgan Stanley
  New York, NY
• 08/2021 → 01/2025
  Nylife Securities Llc
  Rego Park, NY
• 01/2025 → Present
  Prinicpal Life Insurance Co
  Melville, NY
• 01/2025 → Present
  Principal Securities Inc
  Melville, NY

Other Businesses

INSURANCE POSITION: Outside Sales NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 15 START DATE: 02/03/2025 ADDRESS: 48 S Service Road, Ste 402, Melville NY 11747, United States DESCRIPTION: Sale of Life, DI, Annuities, Health, LTC, Dental, Medicare & Medical Insurance through various carriers.

Exams

• S65 Uniform Investment Adviser Law Examination
  2026-02-20
• S63 Uniform Securities Agent State Law Examination
  2021-11-19

Other Names

• Alphonso A Brown