Joshua Braun

955,800 advisory clients

Reported services (Item 5G)

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

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

Authority	Category	Status	Date
UT	RA	APPROVED	2024-12-16
CA	RA	APPROVED	2022-10-04

Branch Locations

2423 E Lincoln Dr, Phoenix, AZ 85016-1215 • United States

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Indian Wells	CA	07/2013	04/2018
Bank Of America, N.A.	Indian Wells	CA	04/2016	04/2018
Tdameritrade	San Diego	CA	04/2018	04/2023
Charles Schwab & Co., Inc.	San Diego	CA	02/2023	Present

07/2013 → 04/2018

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Indian Wells, CA
04/2016 → 04/2018

Bank Of America, N.A.

Indian Wells, CA
04/2018 → 04/2023

Tdameritrade

San Diego, CA
02/2023 → Present

Charles Schwab & Co., Inc.

San Diego, CA

2018-04-25 → 2022-10-14

Td Ameritrade, Inc.

San Diego, CA

Westlake, TX

San Diego, CA

San Diego, CA
2016-09-26 → 2018-04-03

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Indian Wells, CA

Code	Exam	Date
S66	Uniform Combined State Law Examination	2016-09-23