Karl L. Braasch
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.
Karl Lee Braasch was a registered financial professional .
Karl is a previously registered financial professional and started their career in finance in 1995. Karl had worked at 4 firms and has passed the Series 65, Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 16, 2012 - June 30, 2020
OPEX CAPITAL MANAGEMENT, LLC
June 21, 2007 - July 9, 2012
PENSON FINANCIAL SERVICES, INC.
April 23, 1997 - June 18, 2007
HILLTOP SECURITIES INC.
September 13, 1995 - April 24, 1997
AMERIPRISE ADVISOR SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 3/11/2000
Limited Representative-Equity Trader ExamCurrent Firm
OPEX CAPITAL MANAGEMENT, LLC
CRD#: 164786 / SEC#:
Contact information
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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