Jay Robert Braaten

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2009 → 10/2017
  Invest Financial Corporation
  Austin, MN
• 10/2017 → 03/2023
  Securities America, Inc.
  Austin, MN
• 10/2017 → 03/2023
  Securities America Advisors
  Austin, MN
• 04/2023 → Present
  Lpl Financial Llc
  Austin, MN
• 04/2023 → Present
  Accentra Credit Union
  Austin, MN

Previous Registrations

• 2017-10-30 → 2023-04-03
  Securities America Advisors, Inc.
  Austin, MN
• 2013-12-05 → 2017-10-31
  Invest Financial Corporation
  Appleton, WI
  Austin, MN
  Albert Lea, MN

Other Businesses

1) 04/03/2023- Braaten Financial Management, Inc - non-variable insurance- Agent selling Term life, Whole Lief, Disability, LTC- Austin, MN- start date 5/1/2009. 2) 04/03/2023- Accentra Investment Services -DBA for LPL Business (entity for LPL business)- inv related- at reported business location(s) - Start Date:09/11/2006 . 3) 04/03/2023- Real Estate Rental - property co-owner - inv. related- 114 3rd Ave SW, Blooming Praire, Mn 55917- start date 7/1/2020. 4) 10/22/2025 - Other - Hobby - Non Variable Insurance - Home Based - Not Investment Related - Start Date:10/21/2025 - 15 Hrs/Mth - 0 Hrs During Trading.

Exams

• S66 Uniform Combined State Law Examination
  2005-08-23
• S63 Uniform Securities Agent State Law Examination
  1998-07-14

Designations

• Chartered Financial Consultant