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James Patrick Braun

Investment Adviser Representative at NEWEDGE ADVISORS

Bismarck, NDCRD #3070511Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
28 yrs
States Registered
16 states
Exams Passed
4

Registrations & licenses

Registration type
Dual-registered
Registered in 16 states
ArizonaColoradoFloridaGeorgiaIllinoisMinnesotaMontanaNew YorkNorth CarolinaNorth DakotaOregonSouth CarolinaSouth DakotaTexasWisconsinWyoming
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 7/9/2004
Series 63
Uniform Securities Agent State Law Examination
Passed 7/23/1998
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 7/2/1998

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Newedge Advisors Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

NEWEDGE ADVISORSCurrent
2/26/2018Bismarck, ND
LPL FINANCIAL LLC
11/29/20172/4/2019Fort Mill, SC
INVESTMENT CENTERS OF AMERICA, INC.
7/26/200411/29/2017Bismarck, ND

Official records & sources

Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. James Patrick Braun has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

James Patrick Braun - Financial Advisor in Bismarck, ND | AdvisorFinder