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William Braun

Kestra Advisory Services, LLC
42 Years of Experience
Boca Raton, FL
5 DisclosuresBroker
View SEC Summary
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William Braun is a registered investment advisor at Kestra Advisory Services, LLC, based in Boca Raton, FL, with 42 years of industry experience. William is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Annuities, Education Planning, Estate Planning, Insurance Planning, and 3 more. Their firm serves 117,403 clients with $80B in assets under management.

Kestra Advisory Services, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1450 advisors
Number of Clients
117,403 clients
Average Client Portfolio
$680K average
Assets Under Management
$79.8B

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Asset-based fees range up to 2.5% of assets under management and are negotiable based on account size, registration type, and services provided.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

Boca Raton, FL

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History

Regulatory History (5)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
July 2025
Settled
Customer Dispute
November 2022
Settled
Customer Dispute
November 1998
Denied
Customer Dispute
November 1996
Award / Judgment
Regulatory
June 1986
Final
View Full SEC ReportHow to Read Disclosures
Other Business Activities

William works as an Investment Advisor Representative (IAR) through Kestra Advisory Services and as an advisor with Wealth Enpowerment Financial Strategies, dedicating full-time hours to each. He also has a pass-through corporation for tax purposes, requiring minimal time.

Employment History
Current Registrations
Kestra Advisory Services, LLC
October 2024 - Present · 2 yrs
Kestra Investment Services, LLC
October 2024 - Present · 2 yrs
Kestra Investment Services, LLCBroker
October 2024 - Present · 2 yrs
Previous Registrations
B. Riley Wealth ManagementBroker
June 2022 - October 2024 · 2 yrs 4 mos
B. Riley Wealth Advisors, INC.
January 2017 - October 2024 · 7 yrs 9 mos
National Asset Management, INC.
June 2007 - October 2009 · 2 yrs 4 mos
National Securities CorporationBroker
May 2007 - July 2022 · 15 yrs 2 mos
Janney Montgomery Scott LLC
June 2005 - June 2007 · 2 yrs
Janney Montgomery Scott LLCBroker
April 2000 - June 2007 · 7 yrs 2 mos
Jwgenesis Securities, INC.Broker
October 1994 - May 2000 · 5 yrs 7 mos
Corporate Securities Group, INC.Broker
July 1992 - October 1994 · 2 yrs 3 mos
J. W. Gant & Associates, INC.Broker
January 1987 - July 1992 · 5 yrs 6 mos
Michelin and Company, INC.Broker
October 1984 - January 1987 · 2 yrs 3 mos
The Stuart-James Company, INC.Broker
July 1984 - October 1984 · 3 mos
Vantage Securities of Colorado, INC.Broker
June 1984 - July 1984 · 1 mo
State Registrations17 states
AZCOCTFLGAMAMDMINCNJNYPASCTXVAWIWY
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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