Unclaimed Profile

Aileen Kay Braga

SARATOGA RESEARCH & INVESTMENT MANAGEMENT·SARATOGA, California

Series 7, Series 8, Series 24, Series 63, Series 65Clean record29 years registeredSARATOGA RESEARCH & INVESTMENT MANAGEMENT

14471 BIG BASIN WAY, SUITE E, SARATOGA, CA 95070CRD# 2241901Firm CRD# 110506

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Aileen Kay Braga · SARATOGA, CA

Registration

CRD #2241901 · SARATOGA RESEARCH & INVESTMENT MANAGEMENT · 29 years registered

Brand Profile

Not yet started

Career History

CRESSET ASSET MANAGEMENT, LLC

Jan 2025 – present

J.P. MORGAN SECURITIES LLC

May 2024 – Jul 2024

San Francisco, CA

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

Aug 2020 – Jul 2024

San Francisco, CA

SARATOGA RESEARCH & INVESTMENT MANAGEMENT

Apr 2010 – Mar 2021

SARATOGA, CA

MUTUAL SECURITIES, INC.

Mar 2010 – Jun 2010

SARATOGA, CA

MORGAN STANLEY SMITH BARNEY LLC

Jun 2009 – Mar 2010

MENLO PARK, CA

CITIGROUP GLOBAL MARKETS INC.

Jul 1997 – Jun 2009

MENLO PARK, CA

Registrations & Exams

FINRA examinations passed

Series 7

Series 8

Series 24

Series 63

Series 65

Registration record

First registered · July 8, 1997

Years registered · 29

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

SARATOGA RESEARCH & INVESTMENT MANAGEMENT

CRD 110506 · SEC 801-57695

AUM

$2.7B

Regulatory assets under management

Employees

3,207 client accounts

Services offered by SARATOGA RESEARCH & INVESTMENT MANAGEMENT

Per Form ADV

Financial planning

Portfolio management (individuals)

Portfolio management (pooled investments)

Pension consulting

Other

Client types served by the firm

Per Form ADV

Individuals

Institutional Investors

Pension & Retirement Plans

High Net Worth Individuals

View all advisors at SARATOGA RESEARCH & INVESTMENT MANAGEMENT →

Introduction

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Frequently Asked Questions

What services does Aileen Kay Braga offer?

Aileen Kay Braga specializes in Financial Planning, Investment Management, Retirement Planning, Fee-Only Advisory. Contact their office in SARATOGA, California for a consultation.

What are Aileen Kay Braga's credentials?

Aileen Kay Braga is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Aileen Kay Braga located?

Aileen Kay Braga is based in SARATOGA, California, working with SARATOGA RESEARCH & INVESTMENT MANAGEMENT. Their office serves clients in the SARATOGA metropolitan area and surrounding communities.

How does Aileen Kay Braga charge for services?

Aileen Kay Braga's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is SARATOGA RESEARCH & INVESTMENT MANAGEMENT?

SARATOGA RESEARCH & INVESTMENT MANAGEMENT has approximately 23 employees and manages $2.7B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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