Daniel G. Braun

SCHWAB WEALTH ADVISORY

Phoenix, AZ 85044

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CRD#: 1488736

Professional summary

Daniel Gerard Braun, who also goes by Dan Braun, Daniel Gerald Braun, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Phoenix, Arizona and CHARLES SCHWAB & CO., INC. located in Phoenix, Arizona.

Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Daniel has worked at 8 firms and has passed the Series 66, Series 63, Series 7, Series 3 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dan Braun | Daniel Gerald 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Gerard 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

September 1, 2021 - Present

SCHWAB WEALTH ADVISORY, INC.

Office #1: 8040 South 48th Street, Phoenix, AZ 85044

RIA

CRD#: 159035

Phoenix, AZ

Current

August 31, 2021 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 8040 South 48th Street, Phoenix, AZ 85044

RIA

CRD#: 5393

Phoenix, AZ

Past

April 21, 2016 - February 14, 2017

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

MENOMONEE FALLS, WI

Past

April 6, 2016 - February 14, 2017

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

MENOMONEE FALLS, WI

Past

June 7, 1994 - December 31, 1997

HULL TRADING COMPANY, L.L.C.

CRD#: 28267

Past

April 17, 1991 - July 25, 1991

RODMAN & RENSHAW INC.

CRD#: 724

CHICAGO, IL

Past

August 3, 1989 - April 10, 1991

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

July 1, 1987 - July 17, 1989

BANC ONE WISCONSIN INVESTMENT SERVICES CORPORATION

CRD#: 17087

Past

February 24, 1987 - June 24, 1987

MARQUETTE FINANCIAL GROUP, INC.

CRD#: 345

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".

SCHWAB WEALTH ADVISORY, INC.

SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA

Registered Investment Advisory firm - (12/9/2011 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

Alaska
(8/30/2023)

Arizona
(9/1/2021)

IAR

Arizona
(9/1/2021)

California
(8/31/2021)

Colorado
(1/3/2024)

Connecticut
(2/8/2024)

District of Columbia
(7/10/2023)

Florida
(1/20/2022)

Georgia
(12/9/2024)

Idaho
(9/7/2021)

Illinois
(2/23/2024)

Iowa
(2/8/2024)

Kentucky
(2/8/2024)

Massachusetts
(2/8/2024)

Minnesota
(2/7/2024)

Montana
(2/8/2024)

Nebraska
(11/18/2024)

Nevada
(9/13/2021)

New York
(2/7/2024)

Ohio
(2/7/2024)

Oregon
(9/7/2021)

Pennsylvania
(1/4/2024)

Tennessee
(2/8/2024)

Texas
(9/20/2021)

IAR

Texas
(1/4/2022)

Utah
(9/6/2022)

Virginia
(1/11/2024)

Washington
(9/3/2021)

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 66

Date: 8/28/2021

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/2/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/6/2016

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 9/22/1988

National Commodity Futures Examination

Principal/Supervisory Exam

Series 4

Date: 8/29/1988

Registered Options Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

SCHWAB WEALTH ADVISORY, INC.

SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA

Registered Investment Advisory firm - (12/9/2011 Approved)

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Contact information

Main Address

211 Main Street, San Francisco, CA 94105-1901

Mailing Address

Phone number

(415) 667-7000

Established

Firm type

Fiscal year end

# of Employees

1,042

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SCHWAB WEALTH ADVISORY, INC. DISCLOSURE BROCHURE (9/23/2025)

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

Daniel G. Braun

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Gerard Braun's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

HULL TRADING COMPANY, L.L.C.

RODMAN & RENSHAW INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC ONE WISCONSIN INVESTMENT SERVICES CORPORATION

MARQUETTE FINANCIAL GROUP, INC.

Primary Firm SEC Registration

SCHWAB WEALTH ADVISORY, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/28/2021

Series 63

Date: 3/2/1987

Series 7

Date: 4/6/2016

Series 3

Date: 9/22/1988

Series 4

Date: 8/29/1988

FINRA

Nasdaq Stock Market

Current Firm

SCHWAB WEALTH ADVISORY, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

SCHWAB WEALTH ADVISORY, INC.

TRUST BUT VERIFY

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