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Eric Brown

Board Member at PT Asset Management

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
5
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Eric Brown is Board Member of PT Asset Management, LLC, a Chicago investment adviser managing $11.3B. Eric Brown has a current broker registration and no current investment-adviser registration and has passed 5 licensing exams.

Role at PT Asset Management

Title on Schedule A
Board Member
Control
Eric Brown is a control person of PT Asset Management.
Ownership
An individual ownership band is not available in the source record.
Tenure
Eric Brown has held the filed role since January 2018.

The firm

PT Asset Management, LLC
Chicago, IL

Form ADV filed 31 March 2026

$11.3B AUM4 clients16 advisers1 offices

Career on record

Firms and exams, newest first
  1. Passed SIE · 2018
  2. Passed Series 9 and Series 10 · 2008
  3. Passed Series 7 and Series 63 · 2000

Registrations and exams

Broker registration; no current adviser registration. Eric Brown has passed 5 qualifying exams.

Examinations

Series 6325 October 2000
Name
Uniform Securities Agent State Law Examination
Series 1011 February 2008
Name
General Securities Sales Supervisor - General Module Examination
Series 918 January 2008
Name
General Securities Sales Supervisor - Options Module Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 712 October 2000
Name
General Securities Representative Examination

Individual record

Full name
Eric Paul Brown
CRD
4213450
Firm
PT Asset Management, LLC
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Eric Brown work?

Eric Brown has been Board Member of PT Asset Management, LLC since January 2018, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 31 March 2026

Does Eric Brown have a current investment-adviser registration?

Eric Brown has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Eric Brown passed?

Eric Brown has passed 5 licensing exams: the Series 7, Series 63, Series 9, Series 10 and SIE. The earliest, the Series 7, was passed in October 2000.

Source: IAPD individual record, checked 17 October 2026

Leadership at PT Asset Management

Sources

  1. IAPD individual record, CRD 4213450. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of PT Asset Management, LLC, filed 31 March 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Eric Brown or PT Asset Management, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.