Thomas Braun (CRD# 3262722) is an Investment Advisor Representative working at Theory Financial in Fort Collins, CO and has over 19 years of experience in the finance industry. Thomas Braun has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
CRD# 6262403
Raymond James & Associates, Inc.
CRD# 2896350
Ubs Financial Services Inc.
CRD# 5790901
Wells Fargo Advisors
The CFP is the gold standard for financial professionals who perform comprehensive financial planning. CFPs must undergo rigorous exams and meet other requirements to obtain this designation.
Like the CFP, ChFCs take extensive coursework on a wide variety of financial planning topics. ChFCs actually take more coursework than CFPs, but are not required to prove their knowledge through a board examination.
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Theory Financial | Fort Collins, CO | Nov 2020 - Current | 3 |
| Tiaa-cref Individual & Institutional Services, LLC | Denver, CO | Jul 2011 - Nov 2020 | 9 |
| Tiaa | Denver, CO | Jul 2011 - Nov 2020 | 9 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Sep 2004 |
| S65 | NASAA Investment Advisors Law Examination | Oct 2006 |
- CO
-
Total Assets Under Management212MILLIONS
-
Total Number of Accounts563ACCOUNTS
-
Average Account Value$377,219
- A percentage of assets under your management
- Financial planning services
- Portfolio management for individuals and/or small businesses
CO, TX, WY
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