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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultant11 years in industry

CHARLES SEBASTIAN CLAUSSEN

Advisor at ANNEX WEALTH MANAGEMENT, LLC

BROOKFIELD, WI

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Search this name across graphsid dfx:ria:39429ff7-df21-30ba-013e-3f256077ebe0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 3
On other graphs: 0
Observed: Jul 3, 2015 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ANNEX WEALTH MANAGEMENT, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 2, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner|Chartered Financial Consultant
Exams: S66
First exam: Jul 2, 2015
First registration: Jul 3, 2015
Dual registered: no
Other names: CHARLES SEBASTIAN CLAUSSEN|Charles Claussen|Chase Claussen
IAPD individual key: 6420029

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ANNEX WEALTH MANAGEMENT, LLC	Independent wealth	Jan 27, 2025	n/a	yes	BROOKFIELD, WI	Current employment
TRANSCEND ADVISOR GROUP, LLC	Independent wealth	Sep 10, 2024	Jan 28, 2025	no	MIlwaukee, WI	Previous registration
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC	Bd affiliated wealth	May 3, 2022	Aug 2, 2024	no	MINNEAPOLIS, MN\|Wauwatosa, WI\|MINNEAPOLIS, MN	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Aug 22, 2019	May 16, 2022	no	WAUWATOSA, WI	Previous registration
HIGHTOWER ADVISORS, LLC	Bd affiliated wealth	Aug 17, 2018	May 20, 2019	no	Brookfield, WI	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Sep 22, 2015	Aug 3, 2018	no	WAUWATOSA, WI	Previous registration
WADDELL & REED	Former SEC adviser	Jul 3, 2015	Aug 28, 2015	no	WAUKESHA, WI	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
TRANSCEND ADVISOR GROUP, LLC	ANNEX WEALTH MANAGEMENT, LLC	Jan 28, 2025	Jan 27, 2025	-1	Firm change	RIA to RIA
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC	TRANSCEND ADVISOR GROUP, LLC	Aug 2, 2024	Sep 10, 2024	39	Firm change	Ibd to RIA
PRUCO SECURITIES, LLC	CLIFTONLARSONALLEN WEALTH ADVISORS, LLC	May 16, 2022	May 3, 2022	-13	Firm change	Ibd to ibd
HIGHTOWER ADVISORS, LLC	PRUCO SECURITIES, LLC	May 20, 2019	Aug 22, 2019	94	Firm change	Ibd to ibd
PRUCO SECURITIES, LLC	HIGHTOWER ADVISORS, LLC	Aug 3, 2018	Aug 17, 2018	14	Firm change	Ibd to ibd
WADDELL & REED	PRUCO SECURITIES, LLC	Aug 28, 2015	Sep 22, 2015	25	Firm change	Other

Relationships

Registered with (6)

→ ANNEX WEALTH MANAGEMENT, LLCRegistered adviserregistration: current employment
Jan 27, 2025 to presentfactForm ADV
→ TRANSCEND ADVISOR GROUP, LLCRegistered adviserregistration: previous registration
Sep 10, 2024 to Jan 28, 2025factForm ADV
→ CLIFTONLARSONALLEN WEALTH ADVISORS, LLCRegistered adviserregistration: previous registration
May 3, 2022 to Aug 2, 2024factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Aug 22, 2019 to May 16, 2022factForm ADV
→ HIGHTOWER ADVISORS, LLCRegistered adviserregistration: previous registration
Aug 17, 2018 to May 20, 2019factForm ADV
→ WADDELL & REEDRegistered adviserregistration: previous registration
Jul 3, 2015 to Aug 28, 2015factForm ADV

Dated events

Occurred
Jan 28, 2025
Advisor changed firm
Charles Sebastian Claussen left Transcend Advisor Group, Llc for Annex Wealth Management, Llc (registered 2025-01-27)
Form ADVobserved 6 days ago
Occurred
Aug 2, 2024
Advisor changed firm
Charles Sebastian Claussen left Cliftonlarsonallen Wealth Advisors, Llc for Transcend Advisor Group, Llc (registered 2024-09-10)
Form ADVobserved 6 days ago
Occurred
May 16, 2022
Advisor changed firm
Charles Sebastian Claussen left Pruco Securities, Llc for Cliftonlarsonallen Wealth Advisors, Llc (registered 2022-05-03)
Form ADVobserved 6 days ago