Lauren M. Braun
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.
Lauren Michelle Braun, AIF®, who also goes by Lauren Braun, was a registered financial professional .
Lauren is a previously registered financial professional and started their career in finance in 2018. Lauren had worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 30, 2020 - December 7, 2021
ERISA ADVISERS, INC.
October 25, 2018 - October 17, 2019
RBC CAPITAL MARKETS, LLC
July 31, 2018 - October 17, 2019
RBC CAPITAL MARKETS, LLC
Primary Firm SEC Registration
ERISA ADVISERS, INC.
CRD#: 170487 / SEC#: 801-130090
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ERISA ADVISERS, INC.
CRD#: 170487 / SEC#: 801-130090
Contact information
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 136 |
| AUM (Assets Under Management) | $ 202,648,296 |
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.
