Theresa 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.
Theresa M Braun, who also goes by Terri Braun, Theresa Michelle Braun, Terri Melton Mrs., was a registered financial professional .
Theresa is a previously registered financial professional and started their career in finance in 2004. Theresa had worked at 9 firms and has passed the Series 66, 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
October 18, 2016 - October 4, 2017
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
October 3, 2016 - October 4, 2017
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 30, 2015 - September 21, 2016
RAYMOND JAMES & ASSOCIATES, INC.
October 30, 2015 - September 21, 2016
RAYMOND JAMES & ASSOCIATES, INC.
January 22, 2014 - August 29, 2014
RAYMOND JAMES & ASSOCIATES, INC.
January 17, 2014 - August 29, 2014
RAYMOND JAMES & ASSOCIATES, INC.
October 27, 2011 - August 29, 2013
MORGAN STANLEY
September 13, 2011 - August 29, 2013
MORGAN STANLEY
September 17, 2010 - September 14, 2011
MORGAN KEEGAN & COMPANY, LLC
May 28, 2010 - September 14, 2011
MORGAN KEEGAN & COMPANY, LLC
April 21, 2009 - December 16, 2009
UBS FINANCIAL SERVICES INC.
April 21, 2009 - December 16, 2009
UBS FINANCIAL SERVICES INC.
September 16, 2005 - May 5, 2009
CITIGROUP GLOBAL MARKETS INC.
September 16, 2005 - May 5, 2009
CITIGROUP GLOBAL MARKETS INC.
December 10, 2004 - September 1, 2005
T. ROWE PRICE ADVISORY SERVICES, INC.
June 3, 2004 - September 1, 2005
T. ROWE PRICE INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
