Brian R. Branch

ROYAL OAK FINANCIAL ADVISORS

Royal Oak, MI 48067

Some features on this profile are disabled

CRD#: 5087618

Professional summary

Brian Richard Branch is a registered financial advisor currently at ROYAL OAK FINANCIAL ADVISORS, LLC located in Royal Oak, Michigan.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Brian has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

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.

INDEPENDENT INSURANCE AGENT - INVESTMENT RELATED - INSURANCE SALES - SPENDS APPROX. 15 HRS/MTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Richard Branch'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

March 30, 2018 - Present

ROYAL OAK FINANCIAL ADVISORS, LLC

Office #1: 1709 Crooks Road, Royal Oak, MI 48067

RIA

CRD#: 290152

Royal Oak, MI

Past

April 1, 2016 - March 30, 2017

WFG INVESTMENTS, INC.

CRD#: 22704

Royal Oak, MI

Past

March 16, 2016 - February 2, 2018

CG ADVISORY SERVICES

RIA

CRD#: 110929

ROYAL OAK, MI

Past

October 17, 2012 - January 28, 2016

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

ROCHESTER HILLS, MI

Past

October 15, 2012 - January 28, 2016

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ROCHESTER HILLS, MI

Past

June 7, 2011 - October 16, 2012

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

MACOMB, MI

Past

May 27, 2011 - October 16, 2012

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

MACOMB, MI

Past

June 29, 2010 - May 31, 2011

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

TROY, MI

Past

January 1, 2008 - May 31, 2011

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

TROY, MI

Past

March 14, 2006 - January 3, 2008

A. G. EDWARDS & SONS, INC.

CRD#: 4

TROY, MI

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".

ROYAL OAK FINANCIAL ADVISORS, LLC

CRD#: 290152 / SEC#: 801-114096

RIA

Registered Investment Advisory firm - (10/5/2018 Approved)

Michigan

Registered Investment Advisory firm - (10/11/2018 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

Michigan
(3/30/2018)

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

State Security Law Exam

IAR

Series 66

Date: 3/24/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 3/30/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/13/2006

General Securities Representative Examination

Current Firm

ROYAL OAK FINANCIAL ADVISORS, LLC

CRD#: 290152 / SEC#: 801-114096

RIA

Registered Investment Advisory firm - (10/5/2018 Approved)

Michigan

Registered Investment Advisory firm - (10/11/2018 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

1709 Crooks Road, Royal Oak, MI 48067

Mailing Address

Phone number

(248) 709-6134

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE - ADV PART 2A (5/9/2025)

Regulatory assets under management

Total Number of Accounts	1,426
AUM (Assets Under Management)	$ 309,238,870

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

Bruce Parmenter

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Southgate, MI

Jack Jerzewski

LPL ENTERPRISE, LLC

IAR

TROY, MI

Lyndon Davis

LIGHTSQUARE WEALTH MANAGEMENT, LLC

IAR

Farmington Hills, MI

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Brian R. Branch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Richard Branch's CRS (Customer Relationship Summary).

Certified licenses

Experience

WFG INVESTMENTS, INC.

CG ADVISORY SERVICES

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

ROYAL OAK FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/24/2006

SIE

Date: 3/30/2017

Series 7

Date: 3/13/2006

Current Firm

ROYAL OAK FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ROYAL OAK FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors