James Patrick Braun

Current Employers

Employment History

• 05/1998 → 11/2017
  Investment Centers Of America, Inc.
  Bismarck, ND
• 11/2017 → Present
  Lpl Financial Llc
  Bismarck, ND
• 01/2018 → Present
  Gwm Advisors, Llc (Dba: Planningteam Financial Advisors)
  Bismark, ND

Previous Registrations

• 2004-07-26 → 2017-11-29
  Investment Centers Of America, Inc.
  Bismarck, ND
  Bismarck, ND
  Appleton, WI

Other Businesses

1. 11/29/2017 - First Dakota - Investment Related - Non-Variable Insurance - Life, term, whole and UL, fixed annuities, LTC, Disability - 0 Hrs/Mth - 0 Hrs During Trading. 2. 10/24/2017 - Planningteam Financial Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 2007 - 0 Hrs/Mth - 0 Hrs During Trading. 3. 12/19/2017 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date 12/08/2017 - 2 Hours Per Month/0 During Securities Trading. 4. 4/23/2018 - Planningteam Financial Advisors - DBA: (Hybrid) Goss Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Started 04/18/2018 - 30 Hours Per Month During Securities Trading. 5. 4/23/2018 - NewEdge Advisors, LLC - DBA: (Hybrid) Planningteam Financial Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 04/18/2018 - 30 Hours Per Month During Securities Trading - I provide investment advisory services through NewEdge Advisors, LLC, an independent investment advisor firm. I started this business activity in 04/2018. I expect to spend approximately 30 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 6. 10/22/2018 - Muehler Bohl Braun Inc. - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Secretary/Treasurer - Started 10/10/2017 - 1 Hour Per Month During Securities Trading. 7. 11/05/2021 - James Braun Financial, Inc. - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date: 02/04/2021 - 1 Hour Per Month/1 Hour During Securities Trading. 8. 09/06/2023 - PT Real Estate Holdings LLC - Investment Related - At Reportable Business Location - Real Estate Rental - Start Date 08/01/2023 - 1 Hours Per Month 1 Hours During Trading

Exams

• S66 Uniform Combined State Law Examination
  2004-07-09
• S63 Uniform Securities Agent State Law Examination
  1998-07-23

Designations