Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
SCOTT ALEXANDER BROWN
CRD#: 5608638
IA
Investment Adviser
B
Broker
RAI WEALTHCRD#: 324695 1700 PARK STREET, SUITE 106
NAPERVILLE, IL 60563
PRIVATE CLIENT SERVICES, LLCCRD#: 120222 1700 Park Street, Suite 106
Naperville, IL 60563
Registration History
20082010201220142016201820202022202420262 FIRMS2017 - 2023 (5 years)2 FIRMS2023 - Present (1 year)BNATIONAL PLANNING CORPORATION (CRD# 29604)2009 - 2017 (8 years)BWATERSTONE FINANCIAL GROUP, INC. (CRD# 10078)2008 - 2009 (<1 year)IANATIONAL PLANNING CORPORATION ... (CRD# 29604)2012 - 2017 (5 years)IAADVANTAGE INVESTMENT MANAGEMEN... (CRD# 146236)2009 - 2012 (3 years)
License(s)

State Registrations

B
Arizona 3/6/2023
B
Michigan 3/6/2023
B
Colorado 3/6/2023
B
Ohio 3/6/2023
B
District of Columbia 3/6/2023
B
Oregon 5/14/2024
B
Florida 3/6/2023
B
South Carolina 3/19/2024
B
Georgia 3/6/2023
B
Tennessee 3/6/2023
B
Illinois 3/6/2023
B
Texas 3/6/2023
IA
Illinois 4/6/2023
IA
Texas 4/5/2023
B
Indiana 3/6/2023
B
Utah 3/6/2023

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RAI WEALTH (CRD#:324695)
1700 PARK STREET, SUITE 106, NAPERVILLE, IL 60563
Registered with this firm since 4/5/2023
B
PRIVATE CLIENT SERVICES, LLC (CRD#:120222)
1700 Park Street, Suite 106, Naperville, IL 60563
Registered with this firm since 3/6/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/18/2017 - 03/07/2023 SECURITIES AMERICA ADVISORS, INC. (CRD#:110518) NAPERVILLE, IL
B
 10/18/2017 - 03/07/2023 SECURITIES AMERICA, INC. (CRD#:10205) NAPERVILLE, IL
IA
 07/16/2012 - 10/26/2017 NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) (CRD#:29604) RIVERWOODS, IL
B
 01/12/2009 - 10/26/2017 NATIONAL PLANNING CORPORATION (CRD#:29604) RIVERWOODS, IL
IA
 02/11/2009 - 08/01/2012 ADVANTAGE INVESTMENT MANAGEMENT, LLC (CRD#:146236) NAPERVILLE, IL
B
 10/28/2008 - 01/08/2009 WATERSTONE FINANCIAL GROUP, INC. (CRD#:10078) WHEATON, IL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.