Erich F. 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.
Erich Frank Braun was a registered financial professional .
Erich is a previously registered financial professional and started their career in finance in 1994. Erich had worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 25, 2014 - February 21, 2018
DIRECTED SERVICES LLC
August 19, 2004 - February 1, 2005
VANGUARD MARKETING CORPORATION
May 15, 1998 - November 17, 2003
PACIFIC SELECT DISTRIBUTORS, LLC
October 13, 1994 - April 23, 1998
GUARDIAN INVESTOR SERVICES LLC
July 7, 1994 - September 14, 1994
THE GREAT-WEST LIFE ASSURANCE COMPANY
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
DIRECTED SERVICES LLC
CRD#: 21675 / SEC#: 801-32675, 8-39104
Contact information
FINRA licenses (5 States and Territories)
Disclosures
| Regulatory Event | 2 |
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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