James L. Brauer

CORNERSTONE FINANCIAL GROUP

Denver, CO 80246

CRD#: 8043747

Some features on this profile are disabled

Professional summary

James Leslie Brauer is a registered financial advisor currently at CORNERSTONE FINANCIAL GROUP,LLC located in Denver, Colorado.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2025. James has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 James Leslie Brauer'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

February 12, 2025 - Present

CORNERSTONE FINANCIAL GROUP,LLC

Office #1: 501 S Cherry St Ste 210, Denver, CO 80246

RIA

CRD#: 129246

Denver, CO

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".

CORNERSTONE FINANCIAL GROUP,LLC

CRD#: 129246 / SEC#: 801-132992

RIA

Registered Investment Advisory firm - (6/16/2025 Approved)

California

Registered Investment Advisory firm - (9/6/2025 Terminated)

Colorado

Registered Investment Advisory firm - (8/7/2025 Terminated)

Iowa

Registered Investment Advisory firm - (9/2/2025 Terminated)

Nebraska

Registered Investment Advisory firm - (8/7/2025 Terminated)

Texas

Registered Investment Advisory firm - (8/7/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Colorado
(2/12/2025)

IAR

Iowa
(2/12/2025)

IAR

Nebraska
(2/12/2025)

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: 1/10/2025

Uniform Investment Adviser Law Examination

Current Firm

CORNERSTONE FINANCIAL GROUP,LLC

CRD#: 129246 / SEC#: 801-132992

RIA

Registered Investment Advisory firm - (6/16/2025 Approved)

California

Registered Investment Advisory firm - (9/6/2025 Terminated)

Colorado

Registered Investment Advisory firm - (8/7/2025 Terminated)

Iowa

Registered Investment Advisory firm - (9/2/2025 Terminated)

Nebraska

Registered Investment Advisory firm - (8/7/2025 Terminated)

Texas

Registered Investment Advisory firm - (8/7/2025 Terminated)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

11225 Davenport Street Suite 102, Omaha, NE 68154

Mailing Address

Phone number

(402) 758-0700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CORNERSTONE FINANCIAL GROUP, LLC ADV PART 2A (5/14/2025)

Regulatory assets under management

Total Number of Accounts	872
AUM (Assets Under Management)	$ 247,020,527

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.

Similar Advisors

Craig Johlfs

LPL FINANCIAL LLC

IAR

GREENWOOD VILLAGE, CO

Ralph Jones

OPPENHEIMER & CO. INC.

IAR

DENVER, CO

Lorie Jones

TANDEM FINANCIAL, LLC

IAR

GREENWOOD VILLAGE, CO

Why AdvisorCheck

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James L. Brauer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Leslie Brauer's CRS (Customer Relationship Summary).

Certified licenses

Experience

CORNERSTONE FINANCIAL GROUP,LLC

Primary Firm SEC Registration

CORNERSTONE FINANCIAL GROUP,LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/10/2025

Current Firm

CORNERSTONE FINANCIAL GROUP,LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CORNERSTONE FINANCIAL GROUP,LLC

TRUST BUT VERIFY

Similar Advisors