Shane Braasch is a registered investment advisor, based in Anaheim, CA, with 12 years of industry experience.
Location
Anaheim, CA
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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.
Learn about disclosures →Employment History
Current Registrations
Nylife Distributors LLC
April 2025 - Present · 1 yr 1 mo
New York Life Investment Management LLC
April 2025 - Present · 1 yr 1 mo
Nylife Distributors LLCBroker
April 2025 - Present · 1 yr 1 mo
Previous Registrations
Pacer Advisors, INC.
April 2024 - April 2025 · 1 yr
Pacer Financial, INC.Broker
April 2024 - April 2025 · 1 yr
Perceptual Wealth
May 2021 - April 2024 · 2 yrs 11 mos
Independent Brokerage Solutions LLCBroker
October 2019 - July 2020 · 9 mos
Quasar Distributors, LLCBroker
January 2018 - July 2020 · 2 yrs 6 mos
Calamos Financial Services LLCBroker
July 2014 - January 2018 · 3 yrs 6 mos
J.P. Morgan Securities LLCBroker
November 2012 - July 2014 · 1 yr 8 mos
State Registrations1 state
CA
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.