Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dennis? Claim Your ProfileDennis Braun is a financial advisor with over 35 years of experience in the industry. Dennis Braun has a strong background in providing investment advice to individuals, businesses, and institutions. Dennis Braun is a registered representative of Wells Fargo Clearing Services, LLC and has held this position since November 2016. Prior to that, Dennis Braun was associated with Piper Jaffray & Co. and U.S. Bancorp Investments, Inc. Dennis Braun is dedicated to providing personalized financial guidance and helping clients reach their financial goals.
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.
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.
Investment consulting services to institutional clients
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.
1
2
OR
07/28/2006 - Present
Wells Fargo Clearing Services, LLC (PORTLAND OR)
OR
11/16/1998 - 07/21/2006
PIPER JAFFRAY & CO. (PORTLAND OR)
MN
09/03/1997 - 11/16/1998
U.S. BANCORP INVESTMENTS, INC. (SAINT PAUL MN)
OR
12/19/1989 - 09/03/1997
U.S. BANCORP SECURITIES (PORTLAND OR)
NA
03/27/1987 - 12/02/1989
LIVINGSTON SECURITIES, INC.
IA
Issued 07/07/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/01/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/10/1991
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/06/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 03/21/1987
Series 7 - General Securities Representative Examination
BC
Issued 09/24/1986
Series 3 - National Commodity Futures Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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