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1300 Godward Street Ne Suite 5500, Minneapolis, MN 55413 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2019-05-22 |
| MN | RA | APPROVED | 2013-12-20 |
Branch Locations
1300 Godward Street Ne Suite 5500, Minneapolis, MN 55413 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Osaic Wealth, Inc. | Roseville | MN | 06/2008 | Present |
| Focus Financial | Roseville | MN | 06/2008 | Present |
1. FOCUS FINANCIAL NETWORK INC POSITION: Financial Advisor NATURE: Registered Investment Advisor INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 06/04/2008 ADDRESS: 1300 GODWARD ST NE SUITE 5500, MINNEAPOLIS MN 55413, United States DESCRIPTION: Manage client portfolios Provideclient annual reviews Ongoing financial planning 2. SWMG LLC POSITION: President NATURE: S Corp established for business purposes INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE 02/15/2018 ADDRESS: 9884 51st St N, Lake Elmo MN 55042, United States DESCRIPTION: This entity was established to help facilitate partial ownership in Bergstrom Financial Group, LLC. 3. BERGSTROM FINANCIAL GROUP LLC POSITION: Partner NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 02/15/2018 ADDRESS: 1300 GODWARD ST NE SUITE 5500, MINNEAPOLIS MN 55413, United States DESCRIPTION: Review income, expenses, financials of LLC Payroll to staff and compensation for partners
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-01-07 |
| S63 | Uniform Securities Agent State Law Examination | 1989-01-03 |
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