TB
Thomas H. Braun
GRADIENT INVESTMENTS
MATTHEWS, NC
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CRD#: 1626025
TB
Professional summary
Thomas Henri Braun, who also goes by Thomas H Braun, is a registered financial advisor currently at GRADIENT INVESTMENTS, LLC located in Matthews, North Carolina.
Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Thomas has worked at 6 firms and has passed the Series 65, Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas H 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.
GOLDENGUARD FINANCIAL;INVESTMENT-RELATED; Matthews, NC;OWNER;08/2008; 160 HR/MONTH; INSURANCE SERVICES AND PRODUCTS
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Henri Braun's 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®
NoneExperience
Current
August 6, 2018 - Present
GRADIENT INVESTMENTS, LLC
RIA
CRD#: 141726
MATTHEWS, NC
Past
November 17, 2016 - December 31, 2023
GOLDENGUARD WEALTH MANAGEMENT, LLC
RIA
CRD#: 169378
MATTHEWS, NC
Past
February 20, 2008 - August 25, 2008
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
IRVING, TX
Past
February 20, 2008 - August 25, 2008
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
IRVING, TX
Past
August 21, 2007 - February 13, 2008
WORTH FINANCIAL GROUP INC.
RIA
CRD#: 13478
KELLER, TX
Past
June 22, 2007 - February 13, 2008
WORTH FINANCIAL GROUP INC.
BD
CRD#: 13478
DALLAS, TX
Past
October 30, 2000 - November 2, 2001
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Past
September 16, 1987 - December 31, 1988
PFS INVESTMENTS INC.
BD
CRD#: 10111
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".
GI
GRADIENT INVESTMENTS, LLC
GRADIENT INVESTMENT GROUP LLC | REGISTERED INDEPENDENT ADVISORS, LLC | REGISTERED INDEPENDENT AGENTS, LLC | GRADIENT INVESTMENTS, LLC
CRD#: 141726 / SEC#: 801-70812
RIA
Registered Investment Advisory firm - (12/1/2009 Approved)Alabama
Registered Investment Advisory firm - (1/20/2010 Terminated)Arizona
Registered Investment Advisory firm - (12/8/2009 Terminated)California
Registered Investment Advisory firm - (12/9/2009 Terminated)Colorado
Registered Investment Advisory firm - (12/10/2009 Terminated)Florida
Registered Investment Advisory firm - (12/8/2009 Terminated)Idaho
Registered Investment Advisory firm - (12/8/2009 Terminated)Kansas
Registered Investment Advisory firm - (12/8/2009 Terminated)Maryland
Registered Investment Advisory firm - (12/21/2009 Terminated)Minnesota
Registered Investment Advisory firm - (12/8/2009 Terminated)Missouri
Registered Investment Advisory firm - (12/8/2009 Terminated)Nevada
Registered Investment Advisory firm - (12/31/2009 Terminated)New Jersey
Registered Investment Advisory firm - (12/8/2009 Terminated)New York
Registered Investment Advisory firm - (11/19/2009 Cancelled)North Carolina
Registered Investment Advisory firm - (12/8/2009 Terminated)Ohio
Registered Investment Advisory firm - (12/8/2009 Terminated)Pennsylvania
Registered Investment Advisory firm - (12/10/2009 Terminated)South Carolina
Registered Investment Advisory firm - (12/8/2009 Terminated)Tennessee
Registered Investment Advisory firm - (12/23/2009 Terminated)Texas
Registered Investment Advisory firm - (12/8/2009 Terminated)Virginia
Registered Investment Advisory firm - (12/9/2009 Terminated)Wisconsin
Registered Investment Advisory firm - (12/8/2009 Terminated)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
North Carolina(8/6/2018)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
GI
GRADIENT INVESTMENTS, LLC
GRADIENT INVESTMENT GROUP LLC | REGISTERED INDEPENDENT ADVISORS, LLC | REGISTERED INDEPENDENT AGENTS, LLC | GRADIENT INVESTMENTS, LLC
CRD#: 141726 / SEC#: 801-70812
RIA
Registered Investment Advisory firm - (12/1/2009 Approved)Alabama
Registered Investment Advisory firm - (1/20/2010 Terminated)Arizona
Registered Investment Advisory firm - (12/8/2009 Terminated)California
Registered Investment Advisory firm - (12/9/2009 Terminated)Colorado
Registered Investment Advisory firm - (12/10/2009 Terminated)Florida
Registered Investment Advisory firm - (12/8/2009 Terminated)Idaho
Registered Investment Advisory firm - (12/8/2009 Terminated)Kansas
Registered Investment Advisory firm - (12/8/2009 Terminated)Maryland
Registered Investment Advisory firm - (12/21/2009 Terminated)Minnesota
Registered Investment Advisory firm - (12/8/2009 Terminated)Missouri
Registered Investment Advisory firm - (12/8/2009 Terminated)Nevada
Registered Investment Advisory firm - (12/31/2009 Terminated)New Jersey
Registered Investment Advisory firm - (12/8/2009 Terminated)New York
Registered Investment Advisory firm - (11/19/2009 Cancelled)North Carolina
Registered Investment Advisory firm - (12/8/2009 Terminated)Ohio
Registered Investment Advisory firm - (12/8/2009 Terminated)Pennsylvania
Registered Investment Advisory firm - (12/10/2009 Terminated)South Carolina
Registered Investment Advisory firm - (12/8/2009 Terminated)Tennessee
Registered Investment Advisory firm - (12/23/2009 Terminated)Texas
Registered Investment Advisory firm - (12/8/2009 Terminated)Virginia
Registered Investment Advisory firm - (12/9/2009 Terminated)Wisconsin
Registered Investment Advisory firm - (12/8/2009 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4105 Lexington Avenue North Suite 250, Arden Hills, MN 55126
Mailing Address
Phone number
(888) 824-3525
Established
Firm type
Fiscal year end
# of Employees
39
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 69,105 |
| AUM (Assets Under Management) | $ 7,096,331,987 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
