Laurie Ann Braulick

Employer firm

Calton & Associates, Inc. CRD 20999

$1.58B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2003 → 07/2019
  Capital Financial Services, Inc.
  Minot, ND
• 07/2019 → Present
  Calton & Associates, Inc.
  New Ulm, MN

Previous Registrations

• 2016-06-09 → 2019-07-09
  Capital Financial Services, Inc.
  New Ulm, MN
  Minot, ND

Other Businesses

No. 1) Name of Business: Investment & Insurance Services of New Ulm, Ltd. Investment related. Address: 1 South Minnesota St., PO Box 62, New Ulm, MN 56073. Nature of Business: Term Life insurance sales, whole life insurance sales, long terms care insurance/hybrid insurance sales and fixed interest annuity sales. Position/Title/Relationship: President. Start Date: 12/01/1999. Hours per month: 50. Hours per month during Securities trading hours: 3. Duties/Responsibilities: I am the sales person responsible for recommending, delivering, and servicing an insurance product that suits the individual's needs.

Exams

• S65 Uniform Investment Adviser Law Examination
  2016-06-01
• S63 Uniform Securities Agent State Law Examination
  1988-04-14