Robert Braun has been an investment adviser representative at Convergence Financial since June 2019, and is not listed among the firm’s executive officers or direct owners. Robert Braun studied at Lawrence University.
Convergence Financial, LLC is a Columbia, MO firm with $904M under management, 2,714 clients and 13 advisers across 15 offices, as of its September 2026 filing.
Robert Braun is Financial Advisor of Convergence Financial. Before graduating he interned at an affiliated broker-dealer and then joined it, and over 13 years he held numerous management roles there. In 2019 he joined LPL Financial through the affiliated hybrid RIA Convergence Financial, LLC.
Robert Braun’s longest registration was 9 years at Waddell & Reed (2009–2019). Before joining Convergence Financial in 2019, Robert Braun was registered through Waddell & Reed.
- LPL Financial LLC– · 1 yearApple Valley, MN · Adviser representative · Firm CRD 6413
- Convergence FinancialCurrent– present · 7 yearsEagan, MN · Adviser representative · Firm CRD 304146
- Waddell & Reed– · 9 yearsBloomington, MN · Adviser representative · Firm CRD 866
Investment adviser representative registrations
Robert Braun is registered as an investment adviser representative in Minnesota, since June 2019.
- MinnesotaSince 20 June 2019
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 1 June 2010 |
| Series 65 | Uniform Investment Adviser Law Examination | 24 July 2009 |
| Series 7 | General Securities Representative Examination | 20 April 2009 |
| Series 63 | Uniform Securities Agent State Law Examination | 1 September 2006 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 23 August 2006 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Robert Joseph Braun
- CRD
- 5179931
- Firm
- Convergence Financial · CRD 304146
- Office
- 2910 Waters Road, Suite 110, Eagan, MN 55121
- Registration
- Investment adviser and broker registrations
- In the industry since
- August 2006
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- convergencemn.com
Where does Robert Braun work?
Robert Braun is an investment adviser representative registered through Convergence Financial, LLC since June 2019, and is not listed among the firm’s executive officers or direct owners.
Is Robert Braun a financial advisor?
Yes. Robert Braun has a current investment-adviser registration in Minnesota, through Convergence Financial since June 2019.
How many years of experience does Robert Braun have?
Robert Braun has 20 years in the financial industry, since August 2006, across 3 adviser firms.
What exams has Robert Braun passed?
Robert Braun has passed 5 licensing exams: the Series 6, Series 63, Series 7, Series 65 and Series 24. The earliest, the Series 6, was passed in August 2006. FINRA credited Robert Braun with the SIE, which began in October 2018.
Where is Robert Braun based?
Robert Braun’s registered office is in Eagan, MN.
Is Robert Braun registered with FINRA?
Yes. Robert Braun has a current broker registration, under CRD 5179931.
Source: FINRA BrokerCheck
How can I verify Robert Braun’s record?
Search CRD 5179931 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Robert Braun’s full registration record.
