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Todd Irwin Braff

Firm:
RBC Capital Markets, LLC
Additional Firms:
Seasongood Asset Management LLC
Chairman and Chief Executive Officer
...(see more)
Type: Dual Registration
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Description

Todd Braff a financial professional at RBC Capital Markets, LLC, a broker-dealer with over 4,750 registered representatives nationwide. Todd has held an industry securities registration for 34 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

Todd Irwin Braff has not answered any questions on Financial Q&A.

Top Guides

Todd Irwin Braff has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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Individuals
Business Development Companies
Other Investment Advisors
State or Municipal Government Entities
Other Pooled Investment Vehicles
Investment Companies
Charitable Organizations
Corporations or Other Businesses
Pension and Profit Sharing Plans
Banking or Thrift Institutions
High Net Worth Individuals
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

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Employer Years Dates
Rbc Global Asset Management (U.S.) Inc. 1 year, 8 months Sep 2011 - Present
Rbc Capital Markets Corporation 5 years, 2 months Mar 2008 - Present
Rbc Dain Rauscher Inc. 9 months Jun 2007 - Mar 2008
Seasongood & Mayer 28 years, 11 months Aug 1978 - Jul 2007
Seasongood & Mayer 29 years Jul 1978 - Jul 2007
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 06/26/2012, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
SEC
FINRA
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found
As of Date
06/26/2012
10/05/2012
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
Uniform Investment Adviser Law Examination Series 65 12/30/1999
Municipal Securities Principal Examination Series 53 06/03/1997
General Securities Principal Examination Series 24 04/01/1988
Uniform Securities Agent State Law Examination Series 63 05/29/1981
General Securities Representative Examination Series 7 10/21/1978

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees
  • Commissions