David R. 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.
David Rutherford Braun was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1977. David had worked at 12 firms and has passed the Series 63, Series 6TO, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 6, 2019 - October 9, 2023
THE LEADERS GROUP, INC.
January 7, 2016 - September 13, 2017
INVESTACORP, INC.
April 15, 2011 - December 31, 2015
KESTRA INVESTMENT SERVICES, LLC
May 23, 2008 - October 21, 2009
DEVENIR, LLC
October 17, 2001 - January 8, 2002
ACORDIA SECURITIES, INC.
January 12, 2001 - September 22, 2005
WELLS FARGO BROKERAGE SERVICES, L.L.C.
December 13, 2000 - October 17, 2005
WELLS FARGO INVESTMENTS, LLC
November 15, 1999 - May 7, 2001
WELLS FARGO SECURITIES INC.
July 14, 1999 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
September 5, 1996 - July 20, 1999
VOYA FINANCIAL ADVISORS, INC.
January 9, 1995 - September 12, 1996
CITIGROUP GLOBAL MARKETS INC.
April 21, 1994 - January 16, 1995
OLD SLIP CAPITAL MANAGEMENT, INC.
November 17, 1977 - April 19, 1994
TOWER SQUARE SECURITIES, INC.
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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 11/9/1977
Registered Representative ExaminationCurrent Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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