Robert D. Braun

OSAIC WEALTH

Missoula, MT 59808

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CRD#: 2042321

Professional summary

Robert David Braun is a registered financial advisor currently at OSAIC WEALTH, INC. located in Missoula, Montana.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Robert has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10, Series 9 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1) TAURUS WEALTH MANAGEMENT LLC POSITION: iar NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 08/01/2012 ADDRESS: 2419 Mullan Rd Suite C, Missoula MT 59808, United States DESCRIPTION: Sales/Marketing of securities and investment advisory products 2) ROBERT BRAUN - FIXED INSURANCE POSITION: agent NATURE: Sole proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 08/01/2012 ADDRESS: 2419 Mullan Rd suite C, Missoula MT 59808, United States DESCRIPTION: sales / marketing of fixed annuities and non variable insurance

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert David Braun's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Robert David 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

November 2, 2018 - Present

OSAIC WEALTH, INC.

Office #1: 2419 Mullan Road Suite C, Missoula, MT 59808

RIA

CRD#: 23131

Missoula, MT

Current

November 2, 2018 - Present

OSAIC WEALTH, INC.

Office #1: 2419 Mullan Road Suite C, Missoula, MT 59808

RIA

CRD#: 23131

Missoula, MT

Past

December 28, 2015 - November 2, 2018

SIGNATOR INVESTORS, INC.

RIA

CRD#: 468

MISSOULA, MT

Past

December 28, 2015 - November 2, 2018

SIGNATOR INVESTORS, INC.

CRD#: 468

MISSOULA, MT

Past

February 29, 2012 - December 28, 2015

SIGNATOR FINANCIAL SERVICES, INC.

RIA

CRD#: 19061

Missoula, MT

Past

January 23, 2012 - December 28, 2015

SIGNATOR FINANCIAL SERVICES, INC.

CRD#: 19061

Missoula, MT

Past

April 11, 2008 - January 26, 2012

PACIFIC WEST FINANCIAL CONSULTANTS INC

RIA

CRD#: 108728

RENTON, WA

Past

April 5, 2007 - January 26, 2012

PACIFIC WEST SECURITIES, INC.

CRD#: 6390

MISSOULA, MT

Past

January 31, 2003 - December 31, 2004

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

RIA

CRD#: 7404

MISSOULA, MT

Past

May 22, 1990 - April 5, 2007

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

CRD#: 7404

MISSOULA, MT

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".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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

Arizona
(7/31/2020)

California
(11/2/2018)

Colorado
(11/2/2018)

Connecticut
(11/2/2018)

Florida
(11/2/2018)

Idaho
(11/2/2018)

Illinois
(6/10/2020)

Indiana
(10/23/2020)

Iowa
(3/22/2024)

Kansas
(11/2/2018)

Louisiana
(11/3/2021)

Massachusetts
(5/28/2020)

Michigan
(11/2/2018)

Minnesota
(11/2/2018)

Montana
(11/2/2018)

IAR

Montana
(11/2/2018)

Nebraska
(8/20/2021)

Nevada
(10/21/2021)

New Hampshire
(2/2/2021)

New Jersey
(11/2/2018)

New York
(11/2/2018)

North Carolina
(11/2/2018)

Ohio
(11/2/2018)

Oklahoma
(9/14/2021)

Oregon
(11/2/2018)

Pennsylvania
(3/17/2025)

South Carolina
(10/18/2021)

Texas
(11/2/2018)

Utah
(11/2/2018)

Virginia
(11/2/2018)

Washington
(11/2/2018)

Wyoming
(11/2/2018)

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: 4/9/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/15/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/19/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 8

Date: 2/8/1999

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report

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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Robert D. Braun

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert David Braun's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Robert David Braun's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

SIGNATOR INVESTORS, INC.

SIGNATOR INVESTORS, INC.

SIGNATOR FINANCIAL SERVICES, INC.

SIGNATOR FINANCIAL SERVICES, INC.

PACIFIC WEST FINANCIAL CONSULTANTS INC

PACIFIC WEST SECURITIES, INC.

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/9/2008

Series 63

Date: 3/15/1990

SIE

Date: 10/1/2018

Series 7

Date: 5/19/1990

Series 10

Date: 1/2/2023

Series 9

Date: 1/2/2023

Series 8

Date: 2/8/1999

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

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