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Detailed Report
THOMAS G BRAUN
THOMAS GAIR BROWN
CRD#: 3262722
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Investment Adviser
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Previous Broker
THEORY FINANCIALCRD#: 304084 355 S TELLER STREET
SUITE 200
LAKEWOOD, CO 80226
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2006 - 2020 (14 years)IATHEORY FINANCIAL (CRD# 304084)2020 - Present (4 years)BEDWARD JONES (CRD# 250)2004 - 2006 (1 year)
License(s)

State Registrations

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Colorado 11/3/2020
Current Registration(s)
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THEORY FINANCIAL (CRD#:304084)
355 S TELLER STREET SUITE 200, LAKEWOOD, CO 80226
Registered with this firm since 11/3/2020
Previous Registration(s)
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 10/05/2006 - 11/13/2020 ADVICE AND PLANNING SERVICES (CRD#:20472) DENVER, CO
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 08/16/2006 - 11/13/2020 TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472) DENVER, CO
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 09/21/2004 - 05/09/2006 EDWARD JONES (CRD#:250) BOULDER, CO
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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
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.