Best Investors Account Sign in

Shane Braasch

New York Life Investment Management LLC

Anaheim, CA

New York, NY

Claim This Profile
Current Employers
New York Life Investment Management Llc

51 Madison Avenue, New York, NY 10010 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-04-22
  • CA RA
    APPROVED
    Since 2025-04-22

Branch Locations

Anaheim, CA • United States

51 Madison Avenue, New York, NY 10010 • 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
Calamos Financial Services Llc Naperville IL 06/2014 01/2018
Brookfield Chicago IL 01/2018 07/2020
Quasar Distributors, Llc Milwaukee WI 01/2018 07/2020
Sddco Brokerage Advisors Llc New York NY 10/2019 07/2020
Perceptual Wealth Newport Beach CA 07/2020 04/2024
Pacer Financial, Inc. Malvern PA 04/2024 04/2025
Pacer Advisors, Inc. Malvern PA 04/2024 04/2025
New York Life Investments Los Angeles CA 04/2025 Present
  • 06/2014 → 01/2018
    Calamos Financial Services Llc
    Naperville, IL
  • 01/2018 → 07/2020
    Brookfield
    Chicago, IL
  • 01/2018 → 07/2020
    Quasar Distributors, Llc
    Milwaukee, WI
  • 10/2019 → 07/2020
    Sddco Brokerage Advisors Llc
    New York, NY
  • 07/2020 → 04/2024
    Perceptual Wealth
    Newport Beach, CA
  • 04/2024 → 04/2025
    Pacer Financial, Inc.
    Malvern, PA
  • 04/2024 → 04/2025
    Pacer Advisors, Inc.
    Malvern, PA
  • 04/2025 → Present
    New York Life Investments
    Los Angeles, CA
Previous Registrations
  • 2024-04-10 → 2025-04-03
    Pacer Advisors, Inc.
    Newport Beach, CA
    Malvern, PA
    Los Angeles, CA
  • 2021-05-07 → 2024-04-01
    Perceptual Wealth
    Winfield, IL
    Newport Beach, CA
    Naperville, IL
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2024-01-12
S66 Uniform Combined State Law Examination 2021-02-27
  • S63 Uniform Securities Agent State Law Examination
    2024-01-12
  • S66 Uniform Combined State Law Examination
    2021-02-27
Other Names
  • Shane Braasch
  • Shane R Braasch
  • Shane Rl Braasch
  • Shane Randall Lee Braasch

View on SEC IAPD

More in Anaheim, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor