Claire M. Braun

CRD#: 5151498

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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.

Claire Maryse Braun, who also goes by Claire Braun-eckhardt, Claire Maryse Eckhardt, was a registered financial professional .

Claire is a previously registered financial professional and started their career in finance in 2006. Claire had worked at 5 firms and has passed the Series 65, Series 66, Series 63, Series 7 and Series 62 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Claire Braun-Eckhardt | Claire Maryse Eckhardt

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 11, 2024 - August 16, 2024

A4 WEALTH ADVISORS LLC

RIA

CRD#: 152397

HUNTERSVILLE, NC

Past

August 6, 2018 - January 10, 2024

GRADIENT INVESTMENTS, LLC

RIA

CRD#: 141726

MATTHEWS, NC

Past

January 6, 2014 - December 31, 2023

GOLDENGUARD WEALTH MANAGEMENT, LLC

RIA

CRD#: 169378

MATTHEWS, NC

Past

February 19, 2008 - November 4, 2010

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

FT. WORTH, TX

Past

February 19, 2008 - November 4, 2010

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

FT. WORTH, TX

Past

August 21, 2007 - February 13, 2008

WORTH FINANCIAL GROUP INC.

RIA

CRD#: 13478

KELLER, TX

Past

September 25, 2006 - February 13, 2008

WORTH FINANCIAL GROUP INC.

CRD#: 13478

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".

A4 WEALTH ADVISORS LLC

A4 WEALTH ADVISORS LLC | A4 WEALTH MANAGEMENT INC.

CRD#: 152397 / SEC#: 801-125825

RIA

Registered Investment Advisory firm - (6/6/2022 Approved)

North Carolina

Registered Investment Advisory firm - (7/19/2022 Terminated)

South Carolina

Registered Investment Advisory firm - (7/14/2022 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.

Visual representation of state registrations

This advisor is not registered in any state.

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 65

Date: 9/19/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 8/16/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/11/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/13/2007

General Securities Representative Examination

General Industry/Product Exam

Series 62

Date: 9/22/2006

Corporate Securities Limited Representative Examination

Current Firm

A4 WEALTH ADVISORS LLC

A4 WEALTH ADVISORS LLC | A4 WEALTH MANAGEMENT INC.

CRD#: 152397 / SEC#: 801-125825

RIA

Registered Investment Advisory firm - (6/6/2022 Approved)

North Carolina

Registered Investment Advisory firm - (7/19/2022 Terminated)

South Carolina

Registered Investment Advisory firm - (7/14/2022 Terminated)

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Contact information

Main Address

16140 Northcross Drive, Huntersville, NC 28078

Mailing Address

Phone number

(704) 509-1141

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 SEC (2/19/2026)

Regulatory assets under management

Total Number of Accounts	1,366
AUM (Assets Under Management)	$ 213,703,027

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.

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Advisor Monitoring

Firm Stability Insights

Claire M. Braun

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GRADIENT INVESTMENTS, LLC

GOLDENGUARD WEALTH MANAGEMENT, LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

WORTH FINANCIAL GROUP INC.

WORTH FINANCIAL GROUP INC.

Primary Firm SEC Registration

A4 WEALTH ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/19/2013

Series 66

Date: 8/16/2007

Series 63

Date: 12/11/2006

Series 7

Date: 2/13/2007

Series 62

Date: 9/22/2006

Current Firm

A4 WEALTH ADVISORS LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

A4 WEALTH ADVISORS LLC

TRUST BUT VERIFY

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