Amber F. Braatz

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CRD#: 6948655

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.

Amber Friedman Braatz, CFP®, who also goes by Amber Michelle Friedman, was a registered financial professional .

Amber is a previously registered financial professional and started their career in finance in 2018. Amber had worked at 1 firm and has passed the Series 65 exam.

Biography

Planning Specialties

At Finley Wealth Advisors, our primary focus is on the needs of the middle-class millionaire. As a fiduciary compensated directly by our clients with fully disclosed professional fees, honesty is the core of our relationship. We refuse commissions or any other misaligned third-party incentives. Our business model has been purposefully designed for those with $2 to $20 million of wealth, as big fish in our right-sized pond. We limit new client relationships to those with greater than $1 million in investment assets. This allows us more time to focus on wealth management issues most relevant to our clients. We utilize tax-efficient portfolio design and income distribution strategies to preserve and protect your wealth.

Question & Answer

What are your service offerings?

Tax Planning

Socially Responsible Investing

Comprehensive Financial Planni...

Retirement Income Management

Retirement Planning

Investment Planning

Do you have an area of expertise or specialization?

High Net Worth Client Needs

Investment Advice with Ongoing...

Medical Professionals

Retirement Plan Investment Adv...

Tax Planning

Women's Financial Planning Iss...

What is your minimum asset requirement?

Are you a "fiduciary"?

Aliases

Amber Michelle Friedman

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.

Modere Network Marketer Non-Investment Related 09/2015 - Present

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®

CFP^®

Certified Financial Planner

Start date: 2020

Experience

Past

May 29, 2018 - January 17, 2025

FINLEY WEALTH ADVISORS

RIA

CRD#: 142776

ESTERO, FL

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".

FINLEY WEALTH ADVISORS

FINLEY WEALTH ADVISORS | FINLEY WEALTH MANAGEMENT, LLC

CRD#: 142776 / SEC#: 801-131760

RIA

Registered Investment Advisory firm - (1/6/2025 Approved)

Louisiana

Registered Investment Advisory firm - (1/9/2025 Approved)

Texas

Registered Investment Advisory firm - (5/22/2025 Conditional Restricted)

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: 5/24/2018

Uniform Investment Adviser Law Examination

Current Firm

FINLEY WEALTH ADVISORS

FINLEY WEALTH ADVISORS | FINLEY WEALTH MANAGEMENT, LLC

CRD#: 142776 / SEC#: 801-131760

RIA

Registered Investment Advisory firm - (1/6/2025 Approved)

Louisiana

Registered Investment Advisory firm - (1/9/2025 Approved)

Texas

Registered Investment Advisory firm - (5/22/2025 Conditional Restricted)

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Contact information

Main Address

10600 Chevrolet Way Suite 101, Estero, FL 33928

Mailing Address

Phone number

(239) 267-7500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 (5/1/2025)

Regulatory assets under management

Total Number of Accounts	72
AUM (Assets Under Management)	$ 119,512,876

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.

Contact information

(xxx) xxx-xxxx

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Amber F. Braatz

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FINLEY WEALTH ADVISORS

Primary Firm SEC Registration

FINLEY WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 5/24/2018

Current Firm

FINLEY WEALTH ADVISORS

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FINLEY WEALTH ADVISORS

TRUST BUT VERIFY

Contact information

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