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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2025-12-01 |
| MN | RA | APPROVED | 2023-11-03 |
| WY | RA | APPROVED | 2023-11-03 |
Branch Locations
125 Landmark Drive Suite 1, Owatonna, MN 55060 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fsc Securities Corporation | Owatonna | MN | 10/2002 | 11/2023 |
| Fsc Securities Corporation | Atlanta | GA | 12/2002 | 11/2023 |
| Diversified Financial Advisory Group | Owatonna | MN | 01/2003 | 11/2023 |
| Osaic Wealth, Inc. | Owatonna | MN | 11/2023 | Present |
1. HERZOG SWENSON ADVISOR GROUP POSITION: Owner NATURE: Sole Proprietorship INVESTMENT RELATED: No NUMBER OF HOUR: 12 SECURITIES TRADING HOURS: 6 START DATE: 07/15/1994 ADDRESS: 125 Landmark Drive, Suite 1, Owatonna, MN 55060 DESCRIPTION: Sale of health insurance products of Blue Cross Blue Shield of Minnesota 2. HERZOG SWENSON ADVISOR GROUP POSITION: Owner NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOUR: SECURITIES TRADING HOURS: START DATE: 01/12/2011 ADDRESS: 125 Landmark Drive, Suite 1, Owatonna, MN 55060 DESCRIPTION: Chris Herzog and I have opened an office under the name of "Herzog Swenson Advisor Group" It is not a formal partnership or corp. Only a DBA. 3. DAVID SWENSON POSITION: Self/owner/player NATURE: Sole Proprietor, Playing poker and other gambling-related activities. INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 8 START DATE: 11/01/2024 ADDRESS: 1125 Esther Lane, Owatonna MN 55060, United States DESCRIPTION: I play poker tournaments, cash poker games, blackjack, ultimate texas hold'em and craps as legal establishments. I fund the buy in amounts and travel expenses from my own resources. I do this as a part-time profit venture. I've been playing recreationally for 20 years and have always added my winnings to my normal income without any deduction for losses and expenses. I've become more profitable and now will to declare this activities as a business activity so I can deduct my costs associated with these winnings.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-04-24 |
| S63 | Uniform Securities Agent State Law Examination | 1988-05-02 |
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