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Thomas G Braun

Theory Financial

Fort Collins, CO

Lakewood, CO

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Current Employers
Theory Financial

2580 Harmony Road, Suite 201, Fort Collins, CO 80528 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2020-11-03
  • CO RA
    APPROVED
    Since 2020-11-03

Branch Locations

2580 Harmony Road, Suite 201, Fort Collins, CO 80528 • United States

355 S Teller Street Suite 200, Lakewood, CO 80226 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Tiaa-Cref Individual & Institutional Services, Llc Denver CO 07/2011 11/2020
Tiaa Denver CO 07/2011 11/2020
Theory Financial Fort Collins CO 11/2020 Present
Previous Registrations
Other Businesses

(1) Rental Property - not investment-related - Denver, CO 80211 - Owner and Landlord - 6/1/2021 - 1 hours/month, 0 hours/month during trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-10-04
S63 Uniform Securities Agent State Law Examination 2004-09-23
  • S65 Uniform Investment Adviser Law Examination
    2006-10-04
  • S63 Uniform Securities Agent State Law Examination
    2004-09-23
Designations
Other Names
  • Thomas Gair Brown

View on SEC IAPD

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Other Offices

EQUITABLE ADVISORS, LLC · FORT COLLINS, CO
AMERIPRISE FINANCIAL SERVICES, LLC · FORT COLLINS, CO
EDWARD JONES · FT COLLINS, CO
GRADIENT ADVISORS, LLC · FORT COLLINS, CO
AMERIPRISE FINANCIAL SERVICES, LLC · FORT COLLINS, CO
AE WEALTH MANAGEMENT, LLC · Fort Collins, CO
EDWARD JONES · FORT COLLINS, CO
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