Thomas Henri Braun

Current Employers

Gradient Investments, Llc

4105 Lexington Avenue North Suite 250, Arden Hills, MN 55126 • United States

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2018-08-06

NC RA
APPROVED

Since 2018-08-06

Branch Locations

Matthews, NC • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Goldenguard Financial	Matthews	NC	08/2008	Present
Goldenguard Wealth Management, Llc	Matthews	NC	11/2016	Present
Gradient Investments, Llc	Arden Hills	MN	08/2018	Present

08/2008 → Present

Goldenguard Financial

Matthews, NC
11/2016 → Present

Goldenguard Wealth Management, Llc

Matthews, NC
08/2018 → Present

Gradient Investments, Llc

Arden Hills, MN

Previous Registrations

2016-11-17 → 2023-12-31

Goldenguard Wealth Management, Llc

Matthews, NC

Palm Beach Gardens, FL

Palm Beach Gardens, FL

Charlotte, NC

Matthews, NC
2008-02-20 → 2008-08-25

Thrivent Investment Management Inc.

Keller, TX

Irving, TX

Irving, TX
2007-08-21 → 2008-02-13

Worth Financial Group Inc.

Keller, TX

Irving, TX

Dallas, TX

Other Businesses

GOLDENGUARD FINANCIAL;INVESTMENT-RELATED; Matthews, NC;OWNER;08/2008; 160 HR/MONTH; INSURANCE SERVICES AND PRODUCTS

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2016-09-26
S66	Uniform Combined State Law Examination	2007-08-16
S63	Uniform Securities Agent State Law Examination	2001-01-08

S65 Uniform Investment Adviser Law Examination

2016-09-26
S66 Uniform Combined State Law Examination

2007-08-16
S63 Uniform Securities Agent State Law Examination

2001-01-08

Other Names

Thomas H Braun

View on SEC IAPD