Thomas Henri Braun
Investment Adviser Representative at Gradient Investments, LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Thomas Henri Braun is an investment adviser representative with Gradient Investments, LLC in Matthews, NC, where they have been registered since 2018. They have worked in the securities industry since 2013 and have been registered with 4 firms, including Goldenguard Wealth Management, LLC and Thrivent Investment Management Inc. They have passed 5 industry qualification exams, including the Series 65 (investment adviser), Series 66 (combined investment adviser and state securities agent), and Series 7 (general securities representative). They are registered to provide investment advice in North Carolina.
Registrations & licenses
- Investment adviser:
- North Carolina
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Goldenguard FinancialAug 2008 – no end date reportedMatthews, NC
- Goldenguard Wealth Management, LLCNov 2016 – no end date reportedMatthews, NC
- Gradient Investments, LLCAug 2018 – no end date reportedArden Hills, MN
Official records & sources
Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Gradient Investments, LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$5B–$25B
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 30
- Offices listed on AdvisorFinder:
- 1
- Main office:
- Arden Hills, MN
- SEC file number:
- 801-70812
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 30, 2026
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Showing 12 of 30 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Thomas Henri 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.
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