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TB

Thaddeus T. Braun

USA FINANCIAL SECURITIES LLC
Big Rapids, MI
Some features on this profile are disabled
CRD#: 2624076
TB

Professional summary

Thaddeus Timothy Braun, who also goes by Thad Timothy Braun, is a registered financial advisor currently at USA FINANCIAL SECURITIES LLC located in Big Rapids, Michigan.

Thaddeus is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Thaddeus has worked at 6 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Thad Timothy 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thaddeus Timothy Braun's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Thaddeus Timothy 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

September 18, 2023 - Present

USA FINANCIAL SECURITIES LLC

Office #2: 6020 East Fulton Street, Ada, MI 49301Office #3: 6020 E. Fulton Street, Ada, MI 49301
RIA
BD
CRD#: 103857
Big Rapids, MI
Current

November 28, 2023 - Present

USA FINANCIAL SECURITIES LLC

Office #1: 6020 East Fulton, Ada, MI 49301Office #2: 6020 E. Fulton Street, Ada, MI 49301
RIA
BD
CRD#: 103857
Ada, MI
Past

August 14, 2017 - November 23, 2021

BROOKSTONE ASSET MANAGEMENT, LLC

RIA
CRD#: 153467
GRAND RAPIDS, MI
Past

August 14, 2017 - June 17, 2022

BROOKSTONE WEALTH ADVISORS, LLC

RIA
CRD#: 137658
WHEATON, IL
Past

July 1, 2011 - August 7, 2017

FIFTH THIRD SECURITIES, INC.

RIA
CRD#: 628
BIG RAPIDS, MI
Past

May 2, 2001 - August 7, 2017

FIFTH THIRD SECURITIES, INC.

BD
CRD#: 628
BIG RAPIDS, MI
Past

July 10, 1998 - May 2, 2001

OLD KENT FINANCIAL ADVISORS

BD
CRD#: 17039
GRAND RAPIDS, MI
Past

December 9, 1996 - July 7, 1998

FIRST OF AMERICA SECURITIES, INC.

BD
CRD#: 36568
KALAMAZOO, MI

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".
UF
USA FINANCIAL SECURITIES LLC
USA FINANCIAL | USA FINANCIAL SECURITIES LLC | USA FINANCIAL SECURITIES CORPORATION | USA FINANCIAL ASSET MANAGEMENT

CRD#: 103857 / SEC#: 801-68276, 8-52342

RIA
Registered Investment Advisory firm - SEC (8/24/2007 Approved)
Arizona
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Arkansas
Registered Investment Advisory firm - SEC (9/12/2007 Terminated)
California
Registered Investment Advisory firm - SEC (8/31/2007 Terminated)
Colorado
Registered Investment Advisory firm - SEC (9/28/2007 Terminated)
Connecticut
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Delaware
Registered Investment Advisory firm - SEC (9/6/2007 Terminated)
Florida
Registered Investment Advisory firm - SEC (10/11/2007 Terminated)
Georgia
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Illinois
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)
Indiana
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Iowa
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Kansas
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Kentucky
Registered Investment Advisory firm - SEC (8/31/2007 Terminated)
Louisiana
Registered Investment Advisory firm - SEC (9/6/2007 Terminated)
Massachusetts
Registered Investment Advisory firm - SEC (9/5/2007 Terminated)
Nevada
Registered Investment Advisory firm - SEC (9/19/2007 Terminated)
New Mexico
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
North Carolina
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Ohio
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Oklahoma
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)
Oregon
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)
South Carolina
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Tennessee
Registered Investment Advisory firm - SEC (9/29/2007 Terminated)
Texas
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Utah
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Virginia
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Wisconsin
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago 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.
RR
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

IAR
Michigan
(9/18/2023)
RR
Michigan
(2/12/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 2/12/2024
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 6/30/2011
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/28/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/20/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/6/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/19/2024
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

UF
USA FINANCIAL SECURITIES LLC
USA FINANCIAL | USA FINANCIAL SECURITIES LLC | USA FINANCIAL SECURITIES CORPORATION | USA FINANCIAL ASSET MANAGEMENT

CRD#: 103857 / SEC#: 801-68276, 8-52342

RIA
Registered Investment Advisory firm - SEC (8/24/2007 Approved)
Arizona
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Arkansas
Registered Investment Advisory firm - SEC (9/12/2007 Terminated)
California
Registered Investment Advisory firm - SEC (8/31/2007 Terminated)
Colorado
Registered Investment Advisory firm - SEC (9/28/2007 Terminated)
Connecticut
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Delaware
Registered Investment Advisory firm - SEC (9/6/2007 Terminated)
Florida
Registered Investment Advisory firm - SEC (10/11/2007 Terminated)
Georgia
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Illinois
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)
Indiana
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Iowa
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Kansas
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Kentucky
Registered Investment Advisory firm - SEC (8/31/2007 Terminated)
Louisiana
Registered Investment Advisory firm - SEC (9/6/2007 Terminated)
Massachusetts
Registered Investment Advisory firm - SEC (9/5/2007 Terminated)
Nevada
Registered Investment Advisory firm - SEC (9/19/2007 Terminated)
New Mexico
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
North Carolina
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Ohio
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Oklahoma
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)
Oregon
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)
South Carolina
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Tennessee
Registered Investment Advisory firm - SEC (9/29/2007 Terminated)
Texas
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Utah
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Virginia
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Wisconsin
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
6020 East Fulton, Ada, MI 49301
Mailing Address
6020 East Fulton, Ada, MI 49301
Phone number
(888) 407-8198
Established
Delaware since 07/03/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
166

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

USA FINANCIAL SECURITIES PART 2A BROCHURE (9/22/2025)
USA FINANCIAL SECURITIES WRAP FEE BROCHURE (3/27/2025)

Direct owners and executive officers

NamePositionCRD#
USA FINANCIAL LLCOWNER
BACHERT, WILLIAM CLAYTONCHIEF FINANCIAL OFFICER/FINANCIAL OPERATIONS PRINCIPAL (PRIMARY)/MUNICIPAL PRINCIPAL/DIRECTOR4576698
ENDERS, BRENT DAVIDPRESIDENT/DIRECTOR/TRUSTEE OF BRENT D. ENDERS TRUST U/A DTD 06/17/20042858719
MCCONNELL, JAMES CARROLL JRCHIEF OPERATIONS OFFICER4679140
MERSMAN, MARK ROBERTCHIEF MARKETING OFFICER4702400
THOMASON, DAWN MCHIEF COMPLIANCE OFFICER5275125
WALTERS, MICHAEL DAVIDCHAIRMAN OF THE BOARD/CHIEF EXECUTIVE OFFICER/DIRECTOR/TRUSTEE OF THE MICHAEL D. WALTERS TRUST U/A DTD 3/13/19962580592

Regulatory assets under management

Total Number of Accounts1,750
AUM (Assets Under Management)$ 301,510,438

Disclosures

Regulatory Event4

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.

Company Information

USA FINANCIAL SECURITIES LLC

CRD#: 103857Big Rapids, MI

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