AdFi
LA

Laurie Ann Braulick

Investment Adviser Representative at CALTON & ASSOCIATES, INC.

New Ulm, MNCRD #1568481Investment Adviser Rep
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
38 yrs
States Registered
24 states
Exams Passed
6

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Laurie Ann Braulick has worked in the securities industry since 1988. They are registered to provide investment advisory services in 24 U.S. states.

Registrations & licenses

Registration type
Investment Adviser Rep
Registered in 24 states
ArizonaArkansasCaliforniaColoradoConnecticutFloridaHawaiiIdahoIllinoisIndianaIowaMichiganMinnesotaMissouriNebraskaNevadaNorth DakotaOhioOregonSouth DakotaTexasUtahWashingtonWisconsin
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 6/1/2016
Series 63
Uniform Securities Agent State Law Examination
Passed 4/14/1988
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 62
Corporate Securities Limited Representative Examination
Passed 7/28/2005
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 3/25/1988
Series 26
Investment Company Products/Variable Contracts Principal Examination
Passed 4/16/1993

Approximate fees

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

Primary fee model
Assets Under Management (AUM)
Blended rate
0.026
Account minimum: $50,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

Calton & Associates, Inc. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

CALTON & ASSOCIATES, INC.Current
7/9/2019New Ulm, MN
CAPITAL FINANCIAL SERVICES, INC.
6/9/20167/9/2019New Ulm, MN

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

Other advisors at CALTON & ASSOCIATES, INC.

Showing 12 of 219 in the directory

View CALTON & ASSOCIATES, INC. firm profile
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. Laurie Ann Braulick 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.

Laurie Ann Braulick - Financial Advisor in New Ulm, MN | AdvisorFinder