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Anthony Michael Brauner

D.A. Davidson & Co.

Lake Oswego, OR

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Current Employers
D.A. Davidson & Co.

8 Third Street North, Great Falls, MT 59401 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-11-27
OR RA APPROVED 2023-11-24
  • TX RA
    APPROVED_RES
    Since 2023-11-27
  • OR RA
    APPROVED
    Since 2023-11-24

Branch Locations

Two Centerpointe Drive Suite 200, Lake Oswego, OR 97305 • 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
Wells Fargo Advisors Llc Portland OR 01/2011 11/2016
Wells Fargo Clearing Services, Llc Portland OR 11/2016 08/2023
Unemployed Lake Oswego OR 09/2023 11/2023
D.A. Davidson & Co. Lake Oswego OR 11/2023 Present
Previous Registrations
  • 2011-01-03 → 2023-08-31
    Wells Fargo Clearing Services, Llc
    Portland, OR
    Vancouver, WA
    Denver, CO
    Lake Oswego, OR
  • 2007-08-20 → 2011-01-03
    Wells Fargo Investments, Llc
    Portland, OR
  • 2007-05-29 → 2007-08-13
    Citigroup Global Markets Inc.
    Las Vegas, NV
    Las Vegas, NV
    North Las Vegas, NV
  • 2004-02-05 → 2007-05-29
    Citicorp Investment Services
    Las Vegas, NV
    North Las Vegas, NV
    Las Vegas, NV
  • 2004-01-08 → 2004-01-15
    Associated Planners Investment Advisory Inc
    Henderson, NV
  • 2001-02-09 → 2003-10-14
    Pruco Securities, Llc.
    Las Vegas, NV
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-02-18
S63 Uniform Securities Agent State Law Examination 1993-07-30
  • S65 Uniform Investment Adviser Law Examination
    1998-02-18
  • S63 Uniform Securities Agent State Law Examination
    1993-07-30
Other Names
  • Tony Brauner
  • Anthony Michael Brauner
  • Anthony M Brauner

View on SEC IAPD

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JEFFREY DAVID KANTOR
JUSTIN PATRICK LINDSEY

Other Offices

PANORAMIC CAPITAL PARTNERS LLC · LAKE OSWEGO, OR
NORTHMARQ FUND MANAGEMENT, LLC · LAKE OSWEGO, OR
STEWARD PARTNERS INVESTMENT ADVISORY, LLC · LAKE OSWEGO, OR
RBC CAPITAL MARKETS, LLC · Lake Oswego, OR
CWM, LLC · Lake Oswego, OR
LPL FINANCIAL LLC · LAKE OSWEGO, OR
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Lake Oswego, OR
STEWARD PARTNERS INVESTMENT ADVISORY, LLC · LAKE OSWEGO, OR

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