Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Braun is a financial professional with over 29 years of experience in the financial services industry. Richard is a CERTIFIED FINANCIAL PLANNER™ professional, a CHARTERED FINANCIAL CONSULTANT™ and is registered to provide investment advice in multiple states. Richard is currently an Investment Advisor Representative associated with Robert W. Baird & Co. Inc., and previously held positions at Northwestern Mutual Investment Services, LLC, BANC ONE SECURITIES CORPORATION, MORGAN STANLEY DW INC., and Robert W. Baird & Co. Incorporated. Richard has a broad range of experience in the financial industry and has passed several industry exams, including the Series 6, 7, 31, 55, 63, and 65.
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.
See schedule d
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.
Hard dollar payments for research
1
2
WI
09/02/2014 - Present
Robert W. Baird & Co. Inc. (Janesville WI)
WI
10/07/2004 - 09/03/2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (MILWAUKEE WI)
IL
08/09/2004 - 09/13/2004
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
NY
08/19/2003 - 07/14/2004
MORGAN STANLEY DW INC. (PURCHASE NY)
WI
06/03/1992 - 11/29/2001
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
IL
07/16/1990 - 08/30/1991
JOHN NUVEEN & CO., INCORPORATED (CHICAGO IL)
IA
Issued 08/29/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/25/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/10/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 08/27/1998
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 06/02/1992
Series 7 - General Securities Representative Examination
BC
Issued 07/13/1990
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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