Richard R. 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.
Richard Ray Braasch, who also goes by Rick Braasch, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1999. Richard had worked at 10 firms and has passed the Series 66 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
June 7, 2012 - June 24, 2020
HOMAN WEALTH ADVISORS, LLC
March 29, 2011 - November 18, 2011
SECURITIES SERVICE NETWORK, LLC
July 23, 2010 - February 11, 2011
QA3 FINANCIAL CORP.
May 21, 2009 - November 17, 2011
MARINER WEALTH ADVISORS
January 14, 2005 - January 5, 2009
AVANTAX PLANNING PARTNERS, INC.
November 26, 2004 - January 12, 2009
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
September 4, 2002 - December 8, 2004
SUNAMERICA SECURITIES, INC.
February 5, 2002 - March 27, 2003
CREATIVE PLANNING
September 29, 2000 - December 14, 2001
CAMBRIDGE INVESTMENT RESEARCH, INC.
December 20, 1999 - October 16, 2000
VESTAX SECURITIES CORPORATION
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
HOMAN WEALTH ADVISORS, LLC
CRD#: 129433 / SEC#: 801-68136
Contact information
Regulatory assets under management
| Total Number of Accounts | 478 |
| AUM (Assets Under Management) | $ 271,057,076 |
Red Flags
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