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Stephen Andrew Braatz

LPl Financial LLC

Oakdale, MN

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2026-08-24
TX RA APPROVED_RES 2026-08-18
  • MN RA
    APPROVED
    Since 2026-08-24
  • TX RA
    APPROVED_RES
    Since 2026-08-18

Branch Locations

910 Inwood Avenue N, Oakdale, MN 55128 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Hopkins MN 01/2011 11/2016
Wells Fargo Clearing Services, Llc Hopkins MN 11/2016 10/2018
Rbc Capital Markets, Llc. St. Paul MN 10/2018 08/2026
City National Bank St. Paul MN 04/2019 08/2026
Lpl Financial Llc Oakdale MN 08/2026 Present
Previous Registrations
  • 2018-10-02 → 2026-08-26
    Rbc Capital Markets, Llc
    St. Paul, MN
    Woodbury, MN
  • 2011-01-03 → 2018-10-04
    Wells Fargo Clearing Services, Llc
    Hopkins, MN
    Saint Louis Park, MN
    Hopkins, MN
    Wayzata, MN
    Minneapolis, MN
    Wayzata, MN
    Wayzata, MN
    Minneapolis, MN
  • 2010-07-20 → 2011-01-03
    Wells Fargo Investments, Llc
    Hopkins, MN
  • 2010-02-22 → 2010-08-13
    Morgan Stanley
    Minneapolis, MN
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-07-18
  • S66 Uniform Combined State Law Examination
    2008-07-18
Other Names
  • Stephen A Braatz

View on SEC IAPD

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