Harold C. Brown & Co., LLC (Buffalo)

Name: Harold C. Brown & Co., LLC
Address: One Hsbc Center, Buffalo, NY, 14203
Telephone: 716-854-2500

Harold C. Brown & Co., LLC is a large advisory firm based in Buffalo. It manages $776.32 million of regulatory assets for 1,908 client accounts. It has been registered with the SEC as an adviser since 2003 and has operated in the jurisdictions of Alabama, Arizona, Arkansas, and 28 other states.

Harold C. Brown & Co. provides financial planning services, portfolio management for individuals and small businesses, and market timing services. It prepares financial plans for more than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Harold C. Brown & Co.: assets under management

The assets under management (AUM) of Harold C. Brown & Co., LLC is $776.32 million. The firm's AUM has grown by 1% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $727.87 million in discretionary accounts and $48.45 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $411.22 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $351.08 thousand.

Harold C. Brown & Co. has custody of $8.88 million in cash and securities for 29 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Harold C. Brown & Co., LLC for their services and products based on a percentage of assets under management, hourly charges, fixed fees, and commissions. Commissions are paid and earned by the adviser when a trade or a sales of an investment is made. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Harold C. Brown & Co., LLC

Barbara Leigh Klucik has been acting as President since 1 Apr 2002. Michael Joseph Pratt joined the executive team most recently as the Managing Member.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Charles William Mccollum	Chairman of board	1 Apr 2002	Other	325737
Katherine Ann Christoferson	Ceo/managing director/secretary	1 Apr 2002	25% - 50%	1133584
Barbara Leigh Klucik	Cco/director	1 Apr 2002	Other	708221
Winthrop Lawrence Buck	President/treasurer/crop/srop/dir	1 Apr 2002	Other	34413
Mary Ann Budin	Senior vp	1 Apr 2002	Other	34658
Peter Jerome Grogan	Vice president	1 Apr 2002	Other	1073574
Edward Philip Bartz	Vice president	1 Apr 2002	Other	2099681
Annette Marie Palumbo	Finop	1 Apr 2002	Other	2870510
Annette Marie Wargo	Finop	1 Apr 2002	Other	2870510
Das/Hcb Inc.	Member	1 Oct 2002	Other	01-0677387
Mjp/Hcb Inc.	Member	1 Oct 2002	Other	02-0592161
Dtc/Hcb Inc.	Member	1 Oct 2002	Other	03-0434839
Kac/Hcb Inc.	Member	1 Oct 2002	Other	04-3654527
Peter Jerome Grogan	Senior vp	1 Jan 2004	Other	1073574
Edward Philip Bartz	Senior vp	1 Jan 2004	Other	2099681
Michael Joseph Pratt	Senior vice president/member	1 Jan 2004	Other	1206854
Deborah Ann Stauring	Senior vice president, member	1 Jan 2004	Other	1081156
Maureen Irwin Maguire	Chief operating officer	1 Sep 2005	Other	4622355
Mary Patricia Schanzlin	Senior vice president	1 Jul 2007	Other	2747880
William Hugh Kelly	Senior vice president	1 Jul 2007	Other	1839629
Matthew Charles Collard	Senior vice president	1 Jul 2007	Other	3000674
Mary Patricia Schanzlin	Senior vice president/member/manager	1 Aug 2008	Other	2747880
Michael Joseph Pratt	Managing member	1 Feb 2010	Other	1206854
Mary Patricia Schanzlin	Senior vice president/member	1 Feb 2010	Other	2747880
Barbara Leigh Klucik	Chief compliance officer\ finop	1 May 2010	Other	708221

Indirect Owners

The SEC currently registers 4 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Deborah Ann Stauring	Owner	1 May 2002	75% - 100%	1081156
Michael Joseph Pratt	Owner	1 May 2002	75% - 100%	1206854
Dolores Theresa Colello	Owner	1 May 2002	75% - 100%	1104867
Katherine Ann Christoferson	Owner	1 May 2002	75% - 100%	1133584

Based in Buffalo

The principal office where Harold C. Brown & Co., LLC performs its advisory services is located at One Hsbc Center, Buffalo, NY 14203, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 716-854-2500 or by fax 716-847-6142. The normal business hours are 8:30 am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at www.hcb.com.