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Joshua Thomas Braun

Charles Schwab & CO., Inc.

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About Joshua Thomas Braun

Joshua Braun is an investment advisor representative at Charles Schwab & CO., Inc. Joshua has been in the financial services industry for 7 years. Joshua is registered to provide investment advice in 54 states and the District of Columbia, and is also registered with FINRA. Joshua has passed the Series 66, SIE and Series 7 exams. Joshua has previously worked for TD AMERITRADE CLEARING, INC. and TD AMERITRADE, INC. and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. The firm provides financial planning, selection of other advisors, and wrap fee program sponsor services.

Firm Information

Joshua Braun is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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Joshua Braun’s Registration & Firm History

UT

12/16/2024 - Present

Charles Schwab & CO., Inc. (Salt Lake City UT)

NE

06/11/2021 - 04/20/2023

TD AMERITRADE CLEARING, INC. (OMAHA NE)

CA

04/25/2018 - 04/20/2023

TD AMERITRADE, INC. (SAN DIEGO CA)

CA

04/09/2016 - 04/03/2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (INDIAN WELLS CA)

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Licenses & Designations

BOTH

Issued 09/23/2016

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/08/2016

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Joshua Thomas Braun.
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