Brian D. Kraus

KRAUS CAPITAL MANAGEMENT

San Antonio, TX 78232

Some features on this profile are disabled

CRD#: 3186444

Professional summary

Brian David Kraus, CFP®, who also goes by Brian D Kraus, is a registered financial advisor currently at KRAUS CAPITAL MANAGEMENT, LLC located in San Antonio, Texas and PURSHE KAPLAN STERLING INVESTMENTS located in San Antonio, Texas.

Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Brian has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brian D Kraus

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 Brian David Kraus's 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®

CFP^®

Certified Financial Planner

Start date: 2004

Experience

Current

March 2, 2016 - Present

KRAUS CAPITAL MANAGEMENT, LLC

Office #1: 227 N Loop 1604 E. Suite 150, San Antonio, TX 78232

RIA

CRD#: 282797

San Antonio, TX

Current

March 3, 2016 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 227 N Loop 1604 E Suite 150, San Antonio, TX 78232

CRD#: 35747

San Antonio, TX

Past

December 2, 2008 - March 3, 2016

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

SAN ANTONIO, TX

Past

December 2, 2008 - March 3, 2016

SECURITIES AMERICA, INC.

CRD#: 10205

SAN ANTONIO, TX

Past

January 2, 2008 - December 1, 2008

AW SECURITIES

CRD#: 103747

SAN ANTONIO, TX

Past

February 24, 2004 - December 1, 2008

ALLWORTH FINANCIAL, L.P.

RIA

CRD#: 111167

SACRAMENTO, CA

Past

April 17, 2002 - December 31, 2007

SECURITIES AMERICA, INC.

CRD#: 10205

SAN ANTONIO, TX

Past

April 8, 1999 - April 24, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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.

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

Alabama
(9/30/2025)

Arkansas
(3/3/2016)

California
(3/3/2016)

Tennessee
(1/7/2021)

IAR

Texas
(3/2/2016)

Texas
(3/3/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/26/1999

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/7/1999

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

KRAUS CAPITAL MANAGEMENT, LLC

CRD#: 282797 / SEC#: 801-107292

RIA

Registered Investment Advisory firm - (8/10/2016 Terminated)

Texas

Registered Investment Advisory firm - (8/9/2016 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

227 N Loop 1604 E. Suite 150, San Antonio, TX 78232

Mailing Address

Phone number

(210) 224-1600

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	199
AUM (Assets Under Management)	$ 65,360,000

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.

Similar Advisors

Robert Armendariz

EAGLE STRATEGIES LLC

IAR

SAN ANTONIO, TX

Christopher Hall

LPL FINANCIAL LLC

IAR

San Antonio, TX

Joe-ben O'banion

TITLEIST ASSET MANAGEMENT, LLC

IAR

SAN ANTONIO, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Brian D. Kraus

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian David Kraus's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

AW SECURITIES

ALLWORTH FINANCIAL, L.P.

SECURITIES AMERICA, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 4/26/1999

SIE

Date: 10/1/2018

Series 7

Date: 4/7/1999

FINRA

Current Firm

KRAUS CAPITAL MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

KRAUS CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors