Christopher M. 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.
Christopher Michael Braun, who also goes by Christopher M Braun, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1996. Christopher had worked at 6 firms and has passed the Series 63, Series 65, SIE 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
September 14, 2012 - July 7, 2017
FORESTERS EQUITY SERVICES, INC.
September 27, 2011 - September 7, 2012
WOODBURY FINANCIAL SERVICES, INC.
September 23, 2011 - September 7, 2012
WOODBURY FINANCIAL SERVICES, INC.
July 27, 2010 - August 31, 2011
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 3, 2010 - August 31, 2011
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
November 5, 2008 - May 21, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
September 11, 2008 - May 21, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
June 25, 1999 - October 26, 1999
GOLDMAN SACHS & CO. LLC
February 9, 1998 - June 7, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 6, 1996 - November 7, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
FORESTERS EQUITY SERVICES, INC.
CRD#: 18464 / SEC#: 801-77880, 8-36703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE INDEPENDENT ORDER OF FORESTERS ("IOF") | OWNER | |
| GERB, JASON HARRIS | CHIEF COMPLIANCE OFFICER | 3021815 |
| GIL, JUDITH ELAINE | VICE PRESIDENT COMPLIANCE | 2707895 |
| MALECHUK, LAURA ANN | FINANCIAL OPERATIONS PRINCIPAL | 1105982 |
| MCDONOUGH, MARK E | VP OPERATIONS | 4254608 |
| REABURN, PAUL DOUGLAS | DIRECTOR | 4125521 |
| SMITH, FRANK LEO | PRESIDENT | 2080590 |
| SMITH, FRANK LEO | DIRECTOR | 2080590 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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