Gregory E. Braver

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CRD#: 2974962

Professional summary

Gregory Ernest Braver was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Gregory Ernest Braver, who also goes by Gregory Braver, was a registered financial advisor .

Gregory is a previously registered financial advisor and started their career in finance in 1999. Gregory had worked at 8 firms and has passed the Series 65, Series 63, Series 31, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Gregory Braver

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)

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 24, 2010 - August 4, 2010

TD AMERITRADE, INC.

RIA

CRD#: 7870

ROSEVILLE, CA

Past

March 24, 2010 - August 4, 2010

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

ROSEVILLE, CA

Past

March 24, 2010 - August 4, 2010

TD AMERITRADE, INC.

CRD#: 7870

ROSEVILLE, CA

Past

July 1, 2009 - March 9, 2010

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

PLACERVILLE, CA

Past

January 10, 2008 - May 5, 2009

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

GRASS VALLEY, CA

Past

January 10, 2008 - May 5, 2009

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

GRASS VALLEY, CA

Past

May 29, 2007 - January 24, 2008

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

GRASS VALLEY, CA

Past

May 29, 2007 - January 24, 2008

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

GRASS VALLEY, CA

Past

June 14, 2004 - May 29, 2007

CITICORP INVESTMENT SERVICES

RIA

CRD#: 23988

GRASS VALLEY, CA

Past

June 14, 2004 - May 29, 2007

CITICORP INVESTMENT SERVICES

CRD#: 23988

GRASS VALLEY, CA

Past

September 9, 2003 - May 17, 2004

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

SACRAMENTO, CA

Past

March 19, 2003 - May 17, 2004

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

August 25, 1999 - April 8, 2002

E*TRADE SECURITIES LLC

CRD#: 29106

JERSEY CITY, NJ

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

State Security Law Exam

IAR

Series 65

Date: 5/9/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/13/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 7/18/2003

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/24/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 8/31/2000

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/3/2000

General Securities Principal Examination

Current Firm

TD AMERITRADE, INC.

TD AMERITRADE, INC. | WATERHOUSE SECURITIES, INC. | TD WATERHOUSE INVESTOR SERVICES, INC. | TD WATERHOUSE INVESTOR SERVICES, INC.

CRD#: 7870 / SEC#: 801-60469, 8-23395

Terminated by SEC on 09/17/2024

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Contact information

Main Address

200 South 108th Avenue, Omaha, NE 68154

Mailing Address

Phone number

(800) 669-3900

Established

New York since 09/29/1978

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

5,840

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
TD AMERITRADE ONLINE HOLDINGS LLC.	OWNER
KONOP, LYNN MARIE	CHIEF COMPLIANCE OFFICER - BD	1216310
KOSTULIAS, JAMES ROBERT	PRESIDENT	3091009
STARR, JEFFREY HAROLD	MANAGING DIRECTOR, OPERATIONS	4700461
THOMPSON, AARON MARK	CHIEF FINANCIAL OFFICER/FINOP	6483170

Disclosures

Regulatory Event	79
Civil Event	1
Arbitration	145

Red Flags

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Firm Stability Insights

Gregory E. Braver

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

ALLSTATE FINANCIAL SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CITICORP INVESTMENT SERVICES

CITICORP INVESTMENT SERVICES

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

E*TRADE SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/9/2003

Series 63

Date: 9/13/1999

Series 31

Date: 7/18/2003

Series 7

Date: 8/24/1999

Series 4

Date: 8/31/2000

Series 24

Date: 6/3/2000

Current Firm

TD AMERITRADE, INC.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TD AMERITRADE, INC.

TRUST BUT VERIFY

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