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Robert Joseph Braun

Robert J. Braun

CONVERGENCE FINANCIAL
Apple Valley, MN 55124
CRD#: 5179931
Some features on this profile are disabled
Robert Joseph Braun
Robert Joseph BraunCONVERGENCE FINANCIAL

Professional summary

Robert Joseph Braun, CFP®, who also goes by Robert Braun, is a registered financial advisor currently at CONVERGENCE FINANCIAL located in Apple Valley, Minnesota and LPL FINANCIAL LLC located in Apple Valley, Minnesota.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Robert has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

What are your service offerings?
Divorce Planning
Retirement Planning
Business Succession Planning
Comprehensive Financial Planni...
Social Security Planning
Estate Planning
Are you a "fiduciary"?
Yes

Aliases

Robert Braun

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 Robert Joseph Braun'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®
CFP®

Certified Financial Planner

Start date: 2019

Experience

Current

June 20, 2019 - Present

CONVERGENCE FINANCIAL

Office #1: 14665 Galaxie Avenue Suite 2015, Apple Valley, MN 55124
RIA
CRD#: 304146
Apple Valley, MN
Current

June 20, 2019 - Present

LPL FINANCIAL LLC

Office #1: 14665 Galaxie Ave, Ste. 205, Apple Valley, MN 55124
RIA
BD
CRD#: 6413
Apple Valley, MN
Past

June 3, 2025 - June 3, 2026

LPL FINANCIAL LLC

RIA
CRD#: 6413
APPLE VALLEY, MN
Past

August 20, 2009 - June 25, 2019

WADDELL & REED

RIA
CRD#: 866
BLOOMINGTON, MN
Past

August 24, 2006 - June 25, 2019

WADDELL & REED

BD
CRD#: 866
BLOOMINGTON, MN

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".
CF
CONVERGENCE FINANCIAL
360 INTEGRATED FINANCIAL | WESCOAT WEALTH MANAGEMENT | TELOS STRATEGIC WEALTH | RAMOS GROUP | LEGACY GROUP FINANCIAL ADVISORS | FOUR RIVERS FINANCIAL | CONVERGENCE WEALTH | CONVERGENCE FINANCIAL, LLC | CONVERGENCE FINANCIAL & TAX | CONVERGENCE FINANCIAL | COMMERCIAL TRUST FINANCIAL SERVICES

CRD#: 304146 / SEC#: 801-116738

RIA
Registered Investment Advisory firm - (6/3/2019 Approved)

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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(6/20/2019)
RR
California
(6/20/2019)
RR
Iowa
(6/20/2019)
RR
Minnesota
(6/20/2019)
IAR
Minnesota
(6/20/2019)
RR
Montana
(6/20/2019)
RR
Texas
(6/20/2019)
RR
Wisconsin
(6/20/2019)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/24/2009
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/1/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/20/2009
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/23/2006
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/1/2010
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CF
CONVERGENCE FINANCIAL
360 INTEGRATED FINANCIAL | WESCOAT WEALTH MANAGEMENT | TELOS STRATEGIC WEALTH | RAMOS GROUP | LEGACY GROUP FINANCIAL ADVISORS | FOUR RIVERS FINANCIAL | CONVERGENCE WEALTH | CONVERGENCE FINANCIAL, LLC | CONVERGENCE FINANCIAL & TAX | CONVERGENCE FINANCIAL | COMMERCIAL TRUST FINANCIAL SERVICES

CRD#: 304146 / SEC#: 801-116738

RIA
Registered Investment Advisory firm - (6/3/2019 Approved)
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Contact information

Main Address
3919 S. Providence Road, Columbia, MO 65203
Mailing Address
Phone number
(573) 818-2264
Established
Firm type
Fiscal year end
# of Employees
18

SEC notice filing (27 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

CONVERGENCE FINANCIAL 2A (9/10/2025)

Regulatory assets under management

Total Number of Accounts3,609
AUM (Assets Under Management)$ 703,445,900

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.

Company Information

CONVERGENCE FINANCIAL

CRD#: 304146Apple Valley, MN 55124

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