David D. Braun
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Daniel Braun, who also goes by Dave Braun, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1987. David had worked at 12 firms and has passed the Series 65, Series 63, Series 31, Series 7, Series 6, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 13, 2019 - July 23, 2020
RESILITY FINANCIAL, INC.
August 23, 2016 - July 14, 2019
RESILITY FINANCIAL, INC.
July 3, 2014 - October 19, 2016
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
August 16, 2013 - July 3, 2014
TRAJAN WEALTH, L.L.C.
May 10, 2012 - July 12, 2012
STOREHOUSE FINANCIAL
December 7, 2010 - January 26, 2011
RETIREMENT DEPOT
June 23, 2008 - December 1, 2010
PACIFIC WEST FINANCIAL CONSULTANTS INC
June 20, 2008 - December 1, 2010
PACIFIC WEST SECURITIES, INC.
June 4, 2002 - June 23, 2008
ONEAMERICA SECURITIES, INC.
June 4, 2002 - June 23, 2008
ONEAMERICA SECURITIES, INC.
August 20, 1999 - June 5, 2002
THRIVENT INVESTMENT MANAGEMENT INC.
December 20, 1997 - July 30, 1999
MORGAN STANLEY DW INC.
March 17, 1994 - December 15, 1997
GUARDIAN INVESTOR SERVICES LLC
July 16, 1987 - February 7, 1994
THRIVENT INVESTMENT MANAGEMENT INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
RESILITY FINANCIAL, INC.
CRD#: 302096 / SEC#:
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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