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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dean? Claim Your ProfileDean Joaquin Braun is an investment advisor representative with over 30 years of experience in the financial services industry. Dean joined Morgan Stanley in 2009, bringing with him a wealth of knowledge from previous roles at Citigroup Global Markets Inc. and Oppenheimer & Co., Inc. Dean holds a variety of securities licenses and is registered with the Financial Industry Regulatory Authority (FINRA) and several state regulators. Dean's specializations include asset allocation, financial planning, and portfolio management for individuals, businesses, and investment companies.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
WA
06/01/2009 - Present
Morgan Stanley (Seattle WA)
WA
08/31/1990 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SEATTLE WA)
NY
05/01/1989 - 09/12/1990
OPPENHEIMER & CO., INC. (NEW YORK NY)
NA
05/21/1987 - 05/17/1989
DREXEL BURNHAM LAMBERT INCORPORATED
IA
Issued 06/07/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/15/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/16/1987
Series 7 - General Securities Representative Examination
BC
Issued 03/23/1987
Series 3 - National Commodity Futures Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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