Ronald C. Braun

VANTAGE POINT FINANCIAL

Farmington Hills, MI

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CRD#: 1408917

Professional summary

Ronald C Braun, CFP®, who also goes by Ron Braun, Ronald Curtis Braun, is a registered financial advisor currently at VANTAGE POINT FINANCIAL, LLC located in Farmington Hills, Michigan.

Ronald is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Ronald has worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ron Braun | Ronald Curtis 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.

1. Board member of the GREATER NORTHVILLE UM ALUMNI CLUB. THIS IS A VOLUNTEER POSITION INVOLVING NO COMPENSATION. DUTIES INVOLVE A MONTHLY MEETING OF LESS THAN 2 HOURS AND OCCASIONAL PHONE CALLS WITH OTHER MEMBERS. 2. Sale of insurance products through various insurance carriers. Start date: 12/5/19, approx. 8 hrs/mo. INV REL: Y 3. RON BRAUN LLC; NOT INVESTMENT RELATED; 32705 BIDDESTONE LANE, FARMINGTON HILLS, MI 48334; START DATE 7/1/2011; LESS THAN 20 HOURS PER MONTH DURING SECURITIES TRADING HOURS;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronald C 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®

CFP^®

Certified Financial Planner

Start date: 1988

Experience

Current

February 25, 2022 - Present

VANTAGE POINT FINANCIAL, LLC

RIA

CRD#: 305016

Farmington Hills, MI

Past

April 21, 2011 - February 22, 2022

SPC

RIA

CRD#: 110692

West Bloomfield, MI

Past

April 21, 2011 - February 22, 2022

SIGMA FINANCIAL CORPORATION

CRD#: 14303

West Bloomfield, MI

Past

September 21, 2010 - April 27, 2011

CIG ASSET MANAGEMENT, INC.

RIA

CRD#: 123609

SOUTHFIELD, MI

Past

October 30, 2009 - April 27, 2011

CIG SECURITIES

CRD#: 129864

SOUTHFIELD, MI

Past

October 10, 2007 - September 8, 2009

HOUSEHOLDER GROUP, ESTATE & RETIREMENT SPECIALISTS

RIA

CRD#: 107773

FARMINGTON HILLS, MI

Past

October 2, 2007 - October 28, 2009

OSAIC SERVICES, INC.

CRD#: 133763

BINGHAM FARMS, MI

Past

October 15, 2003 - September 27, 2007

BENTLEY-LAWRENCE SECURITIES, INC.

CRD#: 13174

TROY, MI

Past

May 1, 2003 - October 15, 2003

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

July 26, 1999 - May 12, 2003

VESTAX SECURITIES CORPORATION

CRD#: 10332

HUDSON, OH

Past

October 16, 1998 - July 28, 1999

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

March 22, 1996 - October 13, 1998

WINGSPAN INVESTMENT SERVICES

CRD#: 17516

CHICAGO, IL

Past

February 10, 1994 - March 21, 1996

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

November 30, 1990 - February 10, 1994

VESTAX SECURITIES CORPORATION

CRD#: 10332

HUDSON, OH

Past

May 31, 1989 - December 5, 1990

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

January 15, 1986 - March 20, 1989

KORN, WOMACK, STERN AND ASSOCIATES, INC.

CRD#: 16933

Past

September 24, 1985 - January 13, 1986

VALUE EQUITIES CORPORATION

CRD#: 13316

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".

VANTAGE POINT FINANCIAL, LLC

VANTAGE POINT FINANCIAL LLC | VANTAGE POINT FINANCIAL, LLC

CRD#: 305016 / SEC#: 801-122708

RIA

Registered Investment Advisory firm - (11/17/2021 Approved)

Illinois

Registered Investment Advisory firm - (11/29/2021 Terminated)

Iowa

Registered Investment Advisory firm - (11/29/2021 Terminated)

Missouri

Registered Investment Advisory firm - (11/29/2021 Terminated)

Texas

Registered Investment Advisory firm - (11/29/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Michigan
(2/25/2022)

IAR

Texas
(8/20/2024)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/3/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/10/1985

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: 9/21/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/28/1994

General Securities Principal Examination

Current Firm

VANTAGE POINT FINANCIAL, LLC

VANTAGE POINT FINANCIAL LLC | VANTAGE POINT FINANCIAL, LLC

CRD#: 305016 / SEC#: 801-122708

RIA

Registered Investment Advisory firm - (11/17/2021 Approved)

Illinois

Registered Investment Advisory firm - (11/29/2021 Terminated)

Iowa

Registered Investment Advisory firm - (11/29/2021 Terminated)

Missouri

Registered Investment Advisory firm - (11/29/2021 Terminated)

Texas

Registered Investment Advisory firm - (11/29/2021 Terminated)

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Contact information

Main Address

2443 Warrenville Road Suite 630, Lisle, IL 60532

Mailing Address

Phone number

(331) 204-6212

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	1,647
AUM (Assets Under Management)	$ 430,712,898

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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Firm Stability Insights

Ronald C. Braun

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronald C Braun's CRS (Customer Relationship Summary).

Certified licenses

Experience

SPC

SIGMA FINANCIAL CORPORATION

CIG ASSET MANAGEMENT, INC.

CIG SECURITIES

HOUSEHOLDER GROUP, ESTATE & RETIREMENT SPECIALISTS

OSAIC SERVICES, INC.

BENTLEY-LAWRENCE SECURITIES, INC.

INVEST FINANCIAL CORPORATION

VESTAX SECURITIES CORPORATION

FIRST ALLIED SECURITIES, INC.

WINGSPAN INVESTMENT SERVICES

ESSEX NATIONAL SECURITIES, LLC

VESTAX SECURITIES CORPORATION

MUTUAL SERVICE CORPORATION

KORN, WOMACK, STERN AND ASSOCIATES, INC.

VALUE EQUITIES CORPORATION

Primary Firm SEC Registration

VANTAGE POINT FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/3/1999

Series 63

Date: 10/10/1985

SIE

Date: 10/1/2018

Series 7

Date: 9/21/1985

Series 24

Date: 7/28/1994

Current Firm

VANTAGE POINT FINANCIAL, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VANTAGE POINT FINANCIAL, LLC

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