John M. Braun

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

Manalapan, NJ

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CRD#: 2513218

Professional summary

John Michael Braun is a registered financial advisor currently at NEW YORK LIFE INVESTMENT MANAGEMENT LLC located in Manalapan, New Jersey and NYLIFE DISTRIBUTORS LLC located in Manalapan, New Jersey.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. John has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Michael 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

February 10, 2022 - Present

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

RIA

CRD#: 109591

Manalapan, NJ

Current

February 18, 1998 - Present

NYLIFE DISTRIBUTORS LLC

CRD#: 35350

Manalapan, NJ

Past

November 28, 2014 - February 9, 2022

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

NEW YORK, NY

Past

May 24, 2011 - November 24, 2014

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

RIA

CRD#: 109591

NEW YORK, NY

Past

September 24, 2009 - May 24, 2011

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

NEW YORK, NY

Past

May 31, 1995 - December 23, 1997

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

May 31, 1995 - December 23, 1997

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

August 31, 1994 - February 17, 1995

INVESTORS ASSOCIATES, INC.

CRD#: 958

HACKENSACK, NJ

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".

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

NEW YORK LIFE ASSET MANAGEMENT OPERATING CO LLC | NYLI | NEW YORK LIFE INVESTMENTS | NEW YORK LIFE INVESTMENT MANAGEMENT LLC

CRD#: 109591 / SEC#: 801-57396

RIA

Registered Investment Advisory firm - (3/20/2000 Approved)

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

Alabama
(11/6/2024)

Alaska
(11/6/2024)

Arizona
(11/6/2024)

Arkansas
(11/6/2024)

California
(11/6/2024)

Colorado
(11/6/2024)

Connecticut
(11/6/2024)

Delaware
(11/6/2024)

District of Columbia
(11/6/2024)

Florida
(5/4/2011)

Georgia
(11/6/2024)

Hawaii
(11/6/2024)

Idaho
(11/6/2024)

Illinois
(11/6/2024)

Indiana
(11/6/2024)

Iowa
(11/6/2024)

Kansas
(11/6/2024)

Kentucky
(11/6/2024)

Louisiana
(11/6/2024)

Maine
(11/6/2024)

Maryland
(11/6/2024)

Massachusetts
(11/6/2024)

Michigan
(11/6/2024)

Minnesota
(11/6/2024)

Mississippi
(11/6/2024)

Missouri
(11/6/2024)

Montana
(11/6/2024)

Nebraska
(11/6/2024)

Nevada
(11/6/2024)

New Hampshire
(11/6/2024)

New Jersey
(3/9/1998)

IAR

New Jersey
(2/10/2022)

New Mexico
(11/6/2024)

New York
(2/18/1998)

North Carolina
(11/6/2024)

North Dakota
(11/6/2024)

Ohio
(11/6/2024)

Oklahoma
(11/6/2024)

Oregon
(11/6/2024)

Pennsylvania
(11/6/2024)

Rhode Island
(11/6/2024)

South Carolina
(11/6/2024)

South Dakota
(11/6/2024)

Tennessee
(11/6/2024)

Texas
(11/6/2024)

Utah
(11/6/2024)

Vermont
(11/6/2024)

Virginia
(11/6/2024)

Washington
(11/6/2024)

West Virginia
(11/6/2024)

Wisconsin
(11/6/2024)

Wyoming
(11/6/2024)

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 65

Date: 9/22/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/22/1994

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: 8/30/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/13/2005

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

NEW YORK LIFE ASSET MANAGEMENT OPERATING CO LLC | NYLI | NEW YORK LIFE INVESTMENTS | NEW YORK LIFE INVESTMENT MANAGEMENT LLC

CRD#: 109591 / SEC#: 801-57396

RIA

Registered Investment Advisory firm - (3/20/2000 Approved)

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Contact information

Main Address

51 Madison Avenue, New York, NY 10010

Mailing Address

Phone number

(888) 474-7725

Established

Firm type

Fiscal year end

# of Employees

349

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NYLIM ADV PART 2A JULY 2025 (7/8/2025)

Regulatory assets under management

Total Number of Accounts	1,047
AUM (Assets Under Management)	$ 113,162,976,263

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

John M. Braun

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Michael Braun's CRS (Customer Relationship Summary).

Certified licenses

Experience

NYLIFE DISTRIBUTORS LLC

EAGLE STRATEGIES LLC

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

EAGLE STRATEGIES LLC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

INVESTORS ASSOCIATES, INC.

Primary Firm SEC Registration

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/22/2009

Series 63

Date: 7/22/1994

SIE

Date: 10/1/2018

Series 7

Date: 8/30/1994

Series 24

Date: 10/13/2005

FINRA

Current Firm

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

TRUST BUT VERIFY

Contact information

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