David Daniel Braun
Professional Summary
David Daniel Braun, who also goes by Dave Braun, was a registered financial advisor. David was a previously registered financial professional and started their career in finance 1987 - 2020. 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Dave Braun
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
39 years in the financial services industry
Current & Past Employments
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Current Firm
RESILITY FINANCIAL, INC.
Contact Information
Main Address
400 N. Mountain Ave., #202 Suite 200, Upland, CA 91786Documents
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Dec 1986About the Series 6 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Nov 2007About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Oct 2005About the Series 9 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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