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KATHRYN H BRAUN
KATHRYN H. BRAUN, KATHRYN HELEN BRAUN, KATIE BRAUN, KATHRYN H. MEISTER
CRD#: 4059595
IA
B
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 300 N Corporate Dr Ste 100
Brookfield, WI 53045
Brookfield, WI 53045
0
Disclosures
16
Years of Experience
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State Registrations
B
Arizona 11/14/2013
B
Nevada 6/16/2014
B
California 11/20/2014
B
New Jersey 11/17/2022
B
Florida 11/14/2013
B
New York 7/16/2020
B
Georgia 9/20/2024
B
North Carolina 3/29/2021
B
Illinois 9/11/2013
B
Oregon 1/29/2015
B
Indiana 9/11/2013
B
Pennsylvania 6/2/2023
B
Iowa 1/8/2016
B
Texas 11/14/2013
B
Kentucky 4/16/2014
IA
Texas 11/21/2013
B
Maryland 4/16/2014
B
Utah 9/20/2024
B
Massachusetts 9/19/2024
B
Vermont 11/17/2022
B
Michigan 3/8/2024
B
Virginia 4/14/2020
B
Minnesota 9/11/2013
B
Washington 6/14/2022
B
Mississippi 10/1/2015
B
Wisconsin 9/11/2013
B
Missouri 9/28/2023
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Wisconsin 9/11/2013
SRO Registrations
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IA
Registered with this firm since 9/11/2013
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Registered with this firm since 9/11/2013
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/20/2009 - 09/12/2013 | WAUKESHA, WI | |
B | 01/21/2009 - 09/12/2013 | PEWAUKEE, WI | |
IA | 08/18/2009 - 12/31/2010 | PEWAUKEE, WI |
PEWAUKEE, WI
08/18/2009 - 12/31/2010
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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.
IA
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.