Raymond Brau
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.
Raymond Brau, who also goes by Ray Brau, Raymond Francis Brau, Brau, Raymond F Brau, Brau Francis Raymond, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1997. Raymond had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 26, 2022 - December 19, 2022
RIVERSOURCE DISTRIBUTORS, INC.
August 6, 2019 - January 10, 2022
W&S BROKERAGE SERVICES, INC.
September 22, 2016 - March 27, 2018
GRADIENT SECURITIES, LLC
December 17, 2013 - January 8, 2016
PRINCIPAL SECURITIES, INC.
January 13, 2012 - May 14, 2013
NYLIFE SECURITIES LLC
August 9, 2007 - May 3, 2010
FARMERS FINANCIAL SOLUTIONS, LLC
December 1, 2006 - July 20, 2007
QUESTAR CAPITAL CORPORATION
June 7, 2006 - December 1, 2006
USALLIANZ SECURITIES, INC.
February 4, 2003 - April 26, 2006
U.S. BANCORP INVESTMENTS, INC.
December 24, 1997 - November 29, 2002
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
RIVERSOURCE DISTRIBUTORS, INC.
CRD#: 139135 / SEC#: , 8-67196
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERIPRISE FINANCIAL, INC | SHAREHOLDER | |
| ALVERO, GUMER CRUZ | CHAIRMAN OF THE BOARD AND CHIEF EXECUTIVE OFFICER | 1975307 |
| KNEESHAW, JESSICA A | DIRECTOR | 4619188 |
| LASSWELL, MARK THOMAS | CHIEF COMPLIANCE OFFICER | 2092593 |
| MATTOX, MICHAEL SCOTT | CHIEF FINANCIAL OFFICER | 4383501 |
| MINELLA, PAULA J | GENERAL COUNSEL | 7355568 |
| SHERMAN, KARA DALY | DIRECTOR (TEXAS DESIGNATED OFFICER) | 4567825 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
