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JB

James H. Braziel

Some features on this profile are disabled
CRD#: 29443
JB

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.

James Hubert Braziel, who also goes by Jim Hubert Braziel, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1970. James had worked at 11 firms and has passed the Series 7TO, SIE, Series 1, Series 51 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jim Hubert Braziel

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.
JAMES HUBERT BRAZIEL - CA LIFE AGENT LICENSE (INSURANCE #0334762) DATE: 7/1969 -PRESENT Braziel & Associates (RIA); Chico, CA

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 7, 2019 - August 13, 2024

BRAZIEL & ASSOCIATES, LLC

RIA
CRD#: 300233
Chico, CA
Past

June 17, 2009 - April 18, 2019

BRAZIEL & ASSOCIATES, LLC

RIA
CRD#: 112059
ROSEVILLE, CA
Past

April 24, 2006 - October 27, 2022

NPB FINANCIAL GROUP, LLC

RIA
CRD#: 137743
CHICO, CA
Past

April 24, 2006 - October 12, 2022

NPB FINANCIAL GROUP, LLC

BD
CRD#: 137743
CHICO, CA
Past

June 19, 2003 - December 27, 2007

BRAZIEL & ASSOCIATES, LLC

RIA
CRD#: 112059
CHICO, CA
Past

January 1, 2002 - November 22, 2010

THE PLANNERS NETWORK, INC.

RIA
CRD#: 108355
CHICO, CA
Past

August 13, 1999 - April 24, 2006

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
CHICO, CA
Past

November 17, 1998 - August 25, 1999

WS GRIFFITH SECURITIES, INC.

BD
CRD#: 10410
HARTFORD, CT
Past

June 14, 1983 - November 20, 1998

ASSOCIATED SECURITIES CORP.

BD
CRD#: 12969
BOSTON, MA
Past

January 31, 1980 - June 21, 1983

LPL FINANCIAL LLC

BD
CRD#: 6413
Past

January 31, 1980 - December 10, 1983

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
Past

November 4, 1976 - January 31, 1980

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

BD
CRD#: 640
Past

January 20, 1970 - November 20, 1976

BIRR, WILSON & CO., INC.

BD
CRD#: 93

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 1
Date: 11/11/1965
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 3/20/2003
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/20/1980
General Securities Principal Examination

Current Firm

B&
BRAZIEL & ASSOCIATES, LLC
BRAZIEL & ASSOCIATES, LLC

CRD#: 300233 / SEC#:

California
Registered Investment Advisory firm - (3/7/2019 Approved)
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Contact information

Main Address
300 Harding Boulevard Suite 102, Roseville, CA 95678
Mailing Address
Phone number
(916) 782-6688
Established
Firm type
Fiscal year end
# of Employees
2

Documents

Latest Form ADV

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

BRAZIEL & ASSOCIATES, LLC

CRD#: 300233

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