Todd J. Stein

BRAESIDE INVESTMENTS

Dallas, TX 75254

Some features on this profile are disabled

CRD#: 4787398

Professional summary

Todd Jonathan Stein is a registered financial advisor currently at BRAESIDE INVESTMENTS, LLC located in Dallas, Texas.

Todd is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Todd has worked at 1 firm .

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Todd Jonathan Stein's CRS (Customer Relationship Summary).

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®

None

Experience

Current

July 6, 2004 - Present

BRAESIDE INVESTMENTS, LLC

Office #1: 14841 Dallas Parkway Suite 415, Dallas, TX 75254

RIA

CRD#: 131184

Dallas, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BRAESIDE INVESTMENTS, LLC

BRAESIDE INVESTMENTS, L.L.C. | BRAESIDE INVESTMENTS, LLC

CRD#: 131184 / SEC#: 801-72448

RIA

Registered Investment Advisory firm - (6/13/2011 Approved)

Texas

Registered Investment Advisory firm - (6/17/2011 Terminated)

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).

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.

Highlighted states indicate IAR registrations

IAR

Texas
(7/6/2004)

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.

Exams

Current Firm

BRAESIDE INVESTMENTS, LLC

BRAESIDE INVESTMENTS, L.L.C. | BRAESIDE INVESTMENTS, LLC

CRD#: 131184 / SEC#: 801-72448

RIA

Registered Investment Advisory firm - (6/13/2011 Approved)

Texas

Registered Investment Advisory firm - (6/17/2011 Terminated)

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

14841 Dallas Parkway Suite 415, Dallas, TX 75254

Mailing Address

Phone number

(214) 276-9001

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BRAESIDE INVESTMENTS, LLC - ADV PART 2A (11/12/2025)

Regulatory assets under management

Total Number of Accounts	4
AUM (Assets Under Management)	$ 127,235,556

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

David Alvarez

EDWARD JONES

IAR

Grapevine, TX

Kenneth Hopkins

ORION WEALTH MANAGEMENT LLC

IAR

Garland, TX

Jonathan Meaney

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

IAR

DALLAS, TX

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Todd J. Stein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Todd Jonathan Stein's CRS (Customer Relationship Summary).

Certified licenses

Experience

BRAESIDE INVESTMENTS, LLC

Primary Firm SEC Registration

BRAESIDE INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Current Firm

BRAESIDE INVESTMENTS, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BRAESIDE INVESTMENTS, LLC

TRUST BUT VERIFY

Similar Advisors