Suzanne K. Braun

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CRD#: 7558064

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.

Suzanne Kay Braun, who also goes by Suzanne Braun, Suzanne Kay Bick, Suzanne Dalberg, Suzanne Lopez, Anna Maassel, Suzanne Kay Maassel, was a registered financial professional .

Suzanne is a previously registered financial professional and started their career in finance in 2022. Suzanne had worked at 6 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Aliases

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.

Foguth Financial Group Insurance Agent 40 hours per month during trading hours

Blog Corner

CRS (Client Relationship Summary)

May 19, 2022 - July 6, 2022

CORECAP ADVISORS

RIA

CRD#: 158819

Maumee, OH

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".

RETIREMENT FINANCIAL GROUP, LLC

RETIREMENT FINANCIAL GROUP, LLC | SERAE WEALTH GROUP, LLC

CRD#: 322692 / SEC#: 801-126392

RIA

Registered Investment Advisory firm - (8/15/2022 Approved)

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: 4/29/2022

Uniform Investment Adviser Law Examination

Current Firm

RETIREMENT FINANCIAL GROUP, LLC

RETIREMENT FINANCIAL GROUP, LLC | SERAE WEALTH GROUP, LLC

CRD#: 322692 / SEC#: 801-126392

RIA

Registered Investment Advisory firm - (8/15/2022 Approved)

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Contact information

Main Address

1090 Longfellow Dr., Beaumont, TX 77706

Mailing Address

Phone number

(409) 908-4160

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RETIREMENT FINANCIAL GROUP FORM ADV PART 2 A BROCHURE (7/17/2025)

Regulatory assets under management

Total Number of Accounts	805
AUM (Assets Under Management)	$ 153,282,380

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.

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Suzanne K. Braun

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RETIREMENT FINANCIAL GROUP, LLC

FOGUTH WEALTH MANAGEMENT, LLC.

FORTHRIGHT CAPITAL ADVISORY

CORECAP ADVISORS

AE WEALTH MANAGEMENT, LLC

CORECAP ADVISORS

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CORECAP ADVISORS

Primary Firm SEC Registration

RETIREMENT FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/29/2022

Current Firm

RETIREMENT FINANCIAL GROUP, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RETIREMENT FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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