William J. Braun

KESTRA ADVISORY SERVICES

Boca Raton, FL 33431

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CRD#: 1271500

Professional summary

William John Braun, who also goes by Bill Braun, Williaim John Braun, William Edmund Braun, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Boca Raton, Florida and KESTRA INVESTMENT SERVICES, LLC located in Boca Raton, Florida.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. William has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bill Braun | Williaim John Braun | William Edmund Braun

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Business Name: KESTRA ADVISORY SERVICES POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 10/26/2009 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735, United States DESCRIPTION: IAR Business Name: WILLIAM BRAUN PA POSITION: president NATURE: pass through corp for tax purposes INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 10/24/2008 ADDRESS: 2424 n fed hwy, boca raton FL 33431, United States DESCRIPTION: only used for tax purposes Business Name: WEALTH ENPOWERMENT FINANCAIL STRATAGIES POSITION: advisor NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/26/2024 ADDRESS: 2424 n federal hwy, boca raton FL 33431, United States DESCRIPTION: financial advisory

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William John Braun's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 3, 2024 - Present

KESTRA ADVISORY SERVICES, LLC

Office #1: 2424 North Federal Highway Suite 400, Boca Raton, FL 33431

RIA

CRD#: 283330

Boca Raton, FL

Current

October 1, 2024 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 2424 North Federal Highway Suite 400, Boca Raton, FL 33431

CRD#: 42046

Boca Raton, FL

Past

June 23, 2022 - October 30, 2024

B. RILEY WEALTH MANAGEMENT

CRD#: 2543

BOCA RATON, FL

Past

January 19, 2017 - October 30, 2024

B. RILEY WEALTH ADVISORS, INC.

RIA

CRD#: 115927

BOCA RATON, FL

Past

June 13, 2007 - October 26, 2009

B. RILEY WEALTH ADVISORS, INC.

RIA

CRD#: 115927

BOCA RATON, FL

Past

May 8, 2007 - July 23, 2022

NATIONAL SECURITIES CORPORATION

CRD#: 7569

BOCA RATON, FL

Past

June 17, 2005 - June 5, 2007

JANNEY MONTGOMERY SCOTT LLC

RIA

CRD#: 463

BOCA RATON, FL

Past

April 19, 2000 - June 5, 2007

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

BOCA RATON, FL

Past

October 18, 1994 - May 1, 2000

JWGENESIS SECURITIES, INC.

CRD#: 33832

BOCA RATON, FL

Past

July 14, 1992 - October 31, 1994

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

ST. LOUIS, MO

Past

January 2, 1987 - July 8, 1992

J. W. GANT & ASSOCIATES, INC.

CRD#: 7963

Past

October 12, 1984 - January 2, 1987

MICHELIN AND COMPANY, INC.

CRD#: 14447

Past

July 3, 1984 - October 17, 1984

THE STUART-JAMES COMPANY, INCORPORATED

CRD#: 11691

Past

June 20, 1984 - July 3, 1984

VANTAGE SECURITIES OF COLORADO, INC.

CRD#: 8622

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(10/1/2024)

Colorado
(3/10/2025)

Connecticut
(10/2/2024)

Florida
(10/2/2024)

IAR

Florida
(10/3/2024)

Georgia
(10/1/2024)

Maryland
(10/10/2024)

Massachusetts
(10/25/2024)

Michigan
(10/1/2024)

New Jersey
(10/1/2024)

New York
(10/1/2024)

North Carolina
(10/31/2024)

Pennsylvania
(10/1/2024)

South Carolina
(12/2/2024)

Texas
(10/16/2024)

IAR

Texas
(3/4/2025)

Virginia
(10/3/2024)

Wisconsin
(10/31/2024)

Wyoming
(10/1/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/2/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/30/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/16/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/14/1988

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 Approved)

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Contact information

Main Address

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735

Mailing Address

Phone number

(844) 553-7872

Established

Firm type

Fiscal year end

# of Employees

1,299

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (WRAP FEE PROGRAM) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (PLAN CLIENTS) (10/21/2025)

Regulatory assets under management

Total Number of Accounts	155,482
AUM (Assets Under Management)	$ 60,174,309,829

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/23/2024	Cover Page	Report
10/20/2023	Cover Page	Report
12/21/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

William J. Braun

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William John Braun's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

B. RILEY WEALTH MANAGEMENT

B. RILEY WEALTH ADVISORS, INC.

B. RILEY WEALTH ADVISORS, INC.

NATIONAL SECURITIES CORPORATION

JANNEY MONTGOMERY SCOTT LLC

JANNEY MONTGOMERY SCOTT LLC

JWGENESIS SECURITIES, INC.

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

J. W. GANT & ASSOCIATES, INC.

MICHELIN AND COMPANY, INC.

THE STUART-JAMES COMPANY, INCORPORATED

VANTAGE SECURITIES OF COLORADO, INC.

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/2/2016

Series 63

Date: 7/30/1984

SIE

Date: 10/1/2018

Series 7

Date: 6/16/1984

Series 24

Date: 10/14/1988

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KESTRA ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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