Thomas James Brown

Current Employers

Employment History

• 01/2007 → 10/2025
  Cambridge Investment Research, Inc
  Fairfield, IA
• 07/2003 → 01/2017
  Thomas James Brown
  Albany, NY
• 09/2007 → Present
  Brown Financial Management Group
  Albany, NY
• 10/2025 → Present
  Lpl Financial
  Albany, NY
• 10/2025 → Present
  Pioneer Bank
  Albany, NY

Previous Registrations

• 2021-04-04 → 2025-12-31
  Brown Financial Management Group, Llc
  Latham, NY
• 2003-08-01 → 2003-09-05
  Walnut Street Securities, Inc.
  St. Louis, MO
• 1993-02-12 → 2003-08-01
  Nathan & Lewis Securities, Inc.
  Albany, NY

Other Businesses

1. 10/29/2025- Brown Farms LLC- Farm- Not INV Related- Home Based- Start date 01/02/1984- 16 Hours Per Month 2. 10/29/2025- WA A WE- Business Entity For Tax/Investment Purposes Only- INV Related- At Reported Business Location(s)- Start date 01/01/1960- 2 Hours Per Month 3. 10/29/2025- Tall Pine Corp.- Business Entity For Tax/Investment Purposes Only- INV Related- At Reported Business Location(s)-Start date 09/15/1986- 1 Hour Per Month 4. 10/29/2025- Brown Financial Management Group LLC- Registered Investment Advisor- INV Related- At Reported Business Location(s)- Start date 01/01/2016- 175 Hours Per Month- 155 Hours During Trading- I temporarily provide limited services through Brown Fin. Mgmt. Grp., an independent investment advisor firm, for purposes of transitioning assets to the LPL Financial RIA. I started this activity business in 04/2021, and expect to spend approximately 175 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its business, its owners, and its services at http://www.advisorinfo.sec.gov/IAPD. This firm is separate from and independent of LPL Financial. 5. 11/13/2025- Brown Financial Management Group DBA- Non-Variable Insurance- INV Related- At Reported Business Location(s)- Start date 01/02/2007- 8 Hours Per Month 6. 11/13/2025- Pioneer Wealth Management- DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 07/15/2003- 40 Hours per month- 40 Hours During Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2001-07-05
• S63 Uniform Securities Agent State Law Examination
  1987-03-16

Designations

Other Names

• Thomas J Brown