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DENNIS DAVID BRAUN
DENNIS BRAUN
CRD#: 1572305
IA
B
WELLS FARGO ADVISORSCRD#: 19616 1300 SW 5TH FL 18TH FL
PORTLAND, OR 97201
PORTLAND, OR 97201
0
Disclosures
38
Years of Experience
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State Registrations
B
Alabama 2/8/2023
B
Minnesota 6/4/2024
B
Alaska 9/8/2017
B
New Hampshire 3/3/2022
B
Arizona 11/12/2008
B
North Dakota 7/28/2009
B
California 7/14/2006
B
Oregon 7/14/2006
B
Colorado 7/14/2006
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Oregon 7/28/2006
B
District of Columbia 12/2/2009
B
South Dakota 6/20/2008
B
Florida 4/13/2022
B
Texas 7/14/2006
B
Georgia 4/26/2012
B
Washington 7/14/2006
B
Michigan 5/10/2012
SRO Registrations
B
B
B
B
B
B
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Registered with this firm since 7/28/2006
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Registered with this firm since 7/14/2006
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 11/16/1998 - 07/21/2006 | PORTLAND, OR | |
B | 09/03/1997 - 11/16/1998 | SAINT PAUL, MN | |
B | 12/19/1989 - 09/03/1997 | PORTLAND, OR | |
B | 03/27/1987 - 12/02/1989 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.