RegAlert
2026-09-24

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Final Order — Investment Adviser/Associated Person

The Office of Financial Regulation orders Amber Friedman Braatz to cease and desist from violating Florida Statutes section 517.12(3) for rendering investment advice in Florida without proper registration. Braatz must pay an administrative fine of $5,000 to the Office. Upon payment and entry of the Final Order, the Office approves Braatz's pending application for registration as an associated person of AA Financial Advisors, LLC.

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Index: OFR 2026 464
STATE OF FLORIDA
OFFICE OF FINANCIAL REGULATION
In Re:
AMBER FRIEDMAN BRAATZ, Case Number: 139837-SR
Respondent.
FINAL ORDER
The State of Florida, Office of Financial Regulation ("Office"), and Amber Friedman Braatz ("Braatz"), having entered into the attached Stipulation and Consent Agreement ("Agreement"), resolving and concluding this matter, it is therefore ORDERED:

  1. The Agreement entered into by the Office and Braatz is adopted and incorporated
    by reference herein as if set forth at length.
  2. The parties shall comply with all provisions of the incorporated Agreement.
    DONE and ORDERED this?!/!day of September, 2026, in Tallahassee, Leon County, Florida. Commissioner

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Source: Florida Office of Financial Regulation — original document · Summary generated with machine assistance and reviewed before publication; the authoritative text is the regulator's original document. How RegAlert works

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