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James Braun

Wells Fargo Advisors Financial Network, LLC

Columbia, SC

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Current Employers
Wells Fargo Advisors Financial Network, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2010-09-28
  • SC RA
    APPROVED
    Since 2010-09-28

Branch Locations

3304 Millwood Ave, Columbia, SC 29205 • 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
Wells Fargo Advisors Financial Network Llc Columbia SC 09/2010 Present
Previous Registrations
  • 2009-06-23 → 2010-09-27
    Uvest Financial Services Group, Inc.
    Columbia, SC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-06-22
S63 Uniform Securities Agent State Law Examination 1998-04-22
  • S66 Uniform Combined State Law Examination
    2009-06-22
  • S63 Uniform Securities Agent State Law Examination
    1998-04-22
Other Names
  • James Edward Arnold Brown
  • Jamie Braun
  • James Edward Arnold Braun

View on SEC IAPD

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Other Offices

INDEPENDENT ADVISOR ALLIANCE, LLC · Columbia, SC
APOLLON WEALTH MANAGEMENT, LLC · Columbia, SC
ABACUS PLANNING GROUP, INC. · COLUMBIA, SC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · COLUMBIA, SC
PARK AVENUE SECURITIES LLC · COLUMBIA, SC
EDWARD JONES · COLUMBIA, SC
CAPITAL CONSULTING GROUP, INC · COLUMBIA, SC
BEERS KIGHT FINANCIAL ADVISORS, LLC · COLUMBIA, SC

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