Nga Le Brown
Investment Adviser Representative at Geneos Wealth Management, Inc.
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Nga Le Brown is an investment adviser representative with Geneos Wealth Management, Inc. in Morrisville, NC, where they have been registered since 2023. They have worked in the securities industry since 2018 and have been registered with 4 firms, including Commonwealth Financial Network and J. W. COLE Advisors, Inc. They have passed 3 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent) and Series 7 (general securities representative). They are registered to provide investment advice in North Carolina.
Office
Advisors at this office: 2
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- North Carolina
- Broker:
1 state or territory
North Carolina
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Cambridge Investment Research, Inc.Mar 2016 – Jan 2019Fairfield, IA
- Cambridge Investment Research, Inc.Apr 2018 – Jan 2019Fairfield, IA
- NN Investing LLCNov 2015 – Apr 2017Durham, NC
- Cambridge Investment Research Advisors, Inc.Jul 2018 – Jan 2019Fairfield, IA
- J.w. COLE Advisors, Inc.Jan 2019 – Feb 2019Tampa, FL
- J.w. COLE Financial, Inc.Jan 2019 – Feb 2019Tampa, FL
- Commonwealth Financial NetworkFeb 2019 – Sep 2023Waltham, MA
- SB Financial Group, LLCNov 2016 – Sep 2023Morrisville, NC
- Geneos Wealth ManagementSep 2023 – no end date reportedMorrisville, NC
- SB Financial Group LLCSep 2023 – no end date reportedMorrisville, NC
Official records & sources
Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Geneos Wealth Management, Inc.
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Broker-dealer and RIA platform services including asset custody options, technology tools, succession and acquisition planning, monetization options, and home office support for independent advisors
Client types the firm serves
Firm assets under management
$5B–$25B
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 193
- Offices listed on AdvisorFinder:
- 26
- Main office:
- Englewood, CO
- SEC file number:
- 801-62331
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of April 10, 2026
View full firm profileOther advisors at Geneos Wealth Management, Inc.
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Nga Le 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.
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