Robert J. Braun
CONVERGENCE FINANCIAL
Eagan, MN 55121
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CRD#: 5179931
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 Eagan, Minnesota and LPL FINANCIAL LLC located in Eagan, 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.
Services Offered
Divorce Planning
Retirement Planning
Business Succession Planning
Comprehensive Financial Planning
Social Security Planning
Estate Planning
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.
1. 04/26/2019 - Convergence Financial - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 06/2019
2. 04/26/2019 - Good Life Insurance Agency - Non-Variable Insurance - inv rel - at reported business location(s) - start: 06/2019 - 10 hr/mth
3. 04/26/2019 - Convergence Tax Solutions - Tax Prep/Accounting/CPA - Owner - inv rel - at reported business location(s) - start: 05/2019 - 10 hr/mth
4. 06/20/2019 - BTM - LLC - Business Entity For Tax/Investment Purposes Only - inv rel - at reported business location(s) - start: 07/2018 - 1 hr/mth.
5. 7/9/2019 - Convergence Financial, LLC - DBA: (Hybrid) Convergence Financial - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 5/31/2019 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Convergence Financial, an independent investment advisor firm. I started this business activity in 7/29//2019. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
6. 7/23/2020 - Convergence Financial and Tax - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 08/01/2020 - 160 Hours Per Month/40 Hours During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Joseph Braun's 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®
Start date: 2019
Experience
Current
June 20, 2019 - Present
CONVERGENCE FINANCIAL
Office #1: 2910 Waters Road Suite 110, Eagan, MN 55121RIA
CRD#: 304146
Eagan, MN
Current
June 20, 2019 - Present
LPL FINANCIAL LLC
Office #1: 2910 Waters Rd, Ste 110, Eagan, MN 55121RIA
BD
CRD#: 6413
EAGAN, 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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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)Loading...
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
Regulatory assets under management
| Total Number of Accounts | 3,609 |
| AUM (Assets Under Management) | $ 703,445,900 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CONVERGENCE FINANCIAL
CRD#: 304146Eagan, MN 55121TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
