Thomas Jay 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

• 01/2022 → 08/2024
  Federated Mutual Insurance Company
  Owatonna, MN
• 03/2020 → 11/2021
  Blooming Prairie Country Club
  Blooming Prairie, MN
• 05/2019 → 12/2019
  Interlachen Country Club
  Edina, MN
• 05/2018 → 11/2018
  Somerby Golf Club
  Byron, MN
• 04/2017 → 08/2017
  Blooming Prairie Country Club
  Blooming Prairie, MN
• 06/2015 → 12/2016
  Prairie Manor Care Center
  Blooming Prairie, MN
• 09/2024 → Present
  Accentra Credit Union
  Austin, MN
• 08/2017 → 05/2021
  University Of Colorado Colorado Springs
  Colorado Springs, CO
• 09/2013 → 05/2017
  Blooming Prairie High School
  Blooming Prairie, MN
• 08/2024 → Present
  Lpl Financial Llc
  Austin, MN

Other Businesses

1) 01/2025 - Accentra Investment Services / DBA for LPL Business (entity for LPL business) - at reported business location (s) 2) 01/28/2025 - Accentra Credit Union - Investment Related - Financial Institution Duty - At Reported Business Location(s) - Start Date:09/15/2024 - 160 Hrs/Mth - 8 Hrs During Trading.

Exams

• S66 Uniform Combined State Law Examination
  2025-03-22