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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2023-06-29 |
Branch Locations
940 Vierling Drive West, Shakopee, MN 55379 • United States
Minneapolis, MN • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Warn Financial Group Ltd Dba Kwg Advisors | Shakopee | MN | 10/2014 | Present |
| Hd Vest Investment Services | Minneapolis | MN | 12/2014 | 09/2018 |
| Kopisxca-Warn Tax & Accounting | Shakopee | MN | 01/2015 | 12/2017 |
| Hd Vest Advisory Servies | Shakopee | MN | 08/2016 | 09/2018 |
| Kwg Advisors | Shakopee | MN | 01/2018 | 09/2018 |
| Cetera Wealth Services, Llc | El Segundo | CA | 09/2018 | Present |
| Vestcore Financial Group | Shakopee | MN | 06/2018 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 09/2018 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE 2. NAME OF OTHER BUSINESS: WARN FINANCIAL GROUP LTD DBA KWG ADVISORS INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: CPA TAX AND BUSINESS CONSULTING FIRM START DATE: 10/2014 POSITION/TITLE/RELATIONSHIP: PRINCIPAL APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PROVIDE BUSINESS AND PERSONAL TAX PLANNING AND PREPARATION, BUSINESS CONSULTING, PAYROLL AND BOOKKEEPING 3. NAME OF OTHER BUSINESS: VESTCORE FINANCIAL GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 06/2018 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 30 APX NUMBER OF HOURS DURING TRADING HOURS: 30 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-07-29 |
| S63 | Uniform Securities Agent State Law Examination | 2003-03-14 |
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