Chad BrownCRD Number: 3119205
Current Firm: Regal Investment Advisors LLC
Chad Brown (CRD# 3119205) is an Investment Advisor Representative working at Regal Investment Advisors LLC in Ashland, OH and has over 10 years of experience in the finance industry.
Raymond James & Associates, Inc.
Lpl Financial LLC
Sterne Agee Investment Advisor Services, Inc.
|Regal Investment Advisors, LLC||Kentwood, MI||Jan 2017 - Current||1|
|The O.n. Equity Sales||Cincinnati, OH||Aug 2010 - Jan 2017||6|
|Ohio National Financial Services||Cincinnati, OH||Jun 2010 - Jan 2017||6|
|Allstate Insurance Company||Ashland, OH||Jun 2007 - Jan 2017||9|
|Allstate Financial Services, LLC||Ashland, OH||Jul 2007 - Aug 2010||3|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Nov 2007|
|S65||NASAA Investment Advisors Law Examination||Jun 2011|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Financial Issue
Total Assets Under Management1,109MILLIONS
Total Number of Accounts8,189ACCOUNTS
Average Account Value$135,392
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies (as well as "business development companies")
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, IL, IN, KS, KY, LA, MA, MD, MI, MN, MO, MS, MT, NC, ND, NE, NJ, NV, NY, OH, OK, OR, PA, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV
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