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SB

Shane Braasch

NEW YORK LIFE INVESTMENT MANAGEMENT LLC
Anaheim, CA
Some features on this profile are disabled
CRD#: 6127208
SB

Professional summary

Shane Braasch, who also goes by Shane R Braasch, Shane Randall Lee Braasch, Shane Rl Braasch, Shane Braasch, is a registered financial advisor currently at NEW YORK LIFE INVESTMENT MANAGEMENT LLC located in Anaheim, California and NYLIFE DISTRIBUTORS LLC located in Merrick, New York.

Shane is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Shane has worked at 9 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Shane R Braasch | Shane Randall Lee Braasch | Shane Rl Braasch | Shane Braasch

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 Shane Braasch'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

April 22, 2025 - Present

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

RIA
CRD#: 109591
Anaheim, CA
Current

April 22, 2025 - Present

NYLIFE DISTRIBUTORS LLC

BD
CRD#: 35350
Merrick, NY
Past

April 10, 2024 - April 3, 2025

PACER ADVISORS, INC.

RIA
CRD#: 137381
Los Angeles, CA
Past

April 9, 2024 - April 3, 2025

PACER FINANCIAL, INC.

BD
CRD#: 137040
MALVERN, PA
Past

May 7, 2021 - April 1, 2024

PERCEPTUAL WEALTH

RIA
CRD#: 313670
NEWPORT BEACH, CA
Past

October 10, 2019 - July 17, 2020

INDEPENDENT BROKERAGE SOLUTIONS LLC

BD
CRD#: 153563
NEW YORK, NY
Past

January 26, 2018 - July 17, 2020

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
PORTLAND, ME
Past

July 8, 2014 - January 11, 2018

CALAMOS FINANCIAL SERVICES LLC

BD
CRD#: 19850
NAPERVILLE, IL
Past

November 20, 2012 - July 8, 2014

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
BLOOMINGDALE, IL

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".
NY
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
NEW YORK LIFE ASSET MANAGEMENT OPERATING CO LLC | NYLI | NEW YORK LIFE INVESTMENTS | NEW YORK LIFE INVESTMENT MANAGEMENT LLC

CRD#: 109591 / SEC#: 801-57396

RIA
Registered Investment Advisory firm - (3/20/2000 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
California
(4/22/2025)
IAR
California
(4/22/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 1/12/2024
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 2/27/2021
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/15/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/17/2014
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/19/2012
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

NY
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
NEW YORK LIFE ASSET MANAGEMENT OPERATING CO LLC | NYLI | NEW YORK LIFE INVESTMENTS | NEW YORK LIFE INVESTMENT MANAGEMENT LLC

CRD#: 109591 / SEC#: 801-57396

RIA
Registered Investment Advisory firm - (3/20/2000 Approved)
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Contact information

Main Address
51 Madison Avenue, New York, NY 10010
Mailing Address
Phone number
(888) 474-7725
Established
Firm type
Fiscal year end
# of Employees
349

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

NYLIM ADV PART 2A JULY 2025 (7/8/2025)

Regulatory assets under management

Total Number of Accounts1,047
AUM (Assets Under Management)$ 113,162,976,263

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

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

CRD#: 109591Anaheim, CA

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