Brian KrausCRD Number: 1943004
Current Firm: Ameriprise Financial Services, Inc.
Brian Kraus (CRD# 1943004) is an Investment Advisor Representative working at Ameriprise Financial Services, Inc. in Orlando, FL and has over 28 years of experience in the finance industry.
Ameriprise Financial Services, Inc.
American Financial Advisors Inc.
Retirement Wealth Advisors, Inc.
|Ameriprise Financial Services, Inc.||Orlando, FL||Jul 2014 - Current||3|
|Investing Possible, LLC||Clermont, FL||Sep 2009 - Jul 2014||4|
|Raymond James Financial Services Advisors, Inc.||St. Petersburg, FL||Jan 2009 - Jul 2014||5|
|Raymond James Financial Services, Inc.||Clermont, FL||May 2002 - Jul 2014||12|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Feb 1990|
|S66||NASAA Uniform Combined State Law Examination||Jul 2007|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management198,081MILLIONS
Total Number of Accounts1,126,912ACCOUNTS
Average Account Value$175,773
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY