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Donald Thomas Brown

Investment Adviser Representative at ESI FINANCIAL ADVISORS

Red Bank, NJCRD #1499353Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
40 yrs
States Registered
15 states
Exams Passed
6

Registrations & licenses

Registration type
Dual-registered
Registered in 15 states
ArizonaColoradoDelawareFloridaIllinoisMarylandMassachusettsMinnesotaNew JerseyNew YorkOhioOklahomaPennsylvaniaTexasWashington
Examinations passed
Series 63
Uniform Securities Agent State Law Examination
Passed 10/2/1986
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 10/23/2003
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 5/9/1986
Series 24
General Securities Principal Examination
Passed 11/23/2005
Series 26
Investment Company Products/Variable Contracts Principal Examination
Passed 4/4/1998

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
$1 to $1,000,0001.00%
$1,000,001 to $2,500,0000.75%
$2,500,001 to $4,999,9990.60%
$5,000,000 to $10,000,0000.50%
$10,000,001 or more0.35%
Account minimum: $10,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

ESI Financial Advisors Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

ESI FINANCIAL ADVISORSCurrent
1/28/2019Red Bank, NJ
MML INVESTORS SERVICES, LLC
3/25/20171/25/2019Iselin, NJ
MSI FINANCIAL SERVICES, INC.
7/30/20023/25/2017Iselin, NJ

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Donald Thomas Brown has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Donald Thomas Brown - Financial Advisor in Red Bank, NJ | AdvisorFinder