RB
CFP · ChFC
RB
CFP · ChFC

Richard Braun

33 Years of Experience
Janesville, WI
Broker

Richard Braun is a CFP, ChFC-designated registered investment advisor at Robert W. Baird & CO. Incorporated, based in Janesville, WI, with 33 years of industry experience. Their practice areas include Investment Management. Their firm serves 228,442 clients with $340B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
2566 advisors
Number of Clients
228,442 clients
Average Client Portfolio
$1.5M average
Assets Under Management
$342.1B

Fee Structure

Baird offers several investment management programs, each with its own fee structure. Because the fees vary significantly depending on the program chosen, it is not possible to provide a single, concise fee summary. Clients should consult the full brochure or their financial advisor for details on specific programs.

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Location

14 N Parker Drive, Suite 200, Janesville, WI, 53545

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Employment History
Current Registrations
Robert W. Baird & CO. Incorporated
September 2014 - Present · 11 yrs 10 mos
Robert W. Baird & CO. Incorporated
September 2014 - Present · 11 yrs 10 mos
Robert W. Baird & CO. IncorporatedBroker
September 2014 - Present · 11 yrs 10 mos
Previous Registrations
Northwestern Mutual Investment Services, LLCBroker
October 2004 - September 2014 · 9 yrs 11 mos
Northwestern Mutual Investment Services,llc
October 2004 - September 2014 · 9 yrs 11 mos
Banc One Securities Corporation
August 2004 - September 2004 · 1 mo
Banc One Securities CorporationBroker
August 2004 - September 2004 · 1 mo
Morgan Stanley Dw INC.Broker
August 2003 - July 2004 · 11 mos
Robert W. Baird & CO. IncorporatedBroker
June 1992 - November 2001 · 9 yrs 5 mos
John Nuveen & CO., IncorporatedBroker
July 1990 - August 1991 · 1 yr 1 mo
State Registrations28 states
AKAZCACOFLGAIAIDILINKYLAMAMDMEMIMNMONCNENMNVORPATNTXVAWI
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.