Christopher Mark Herzog

Current Employers

Employment History

• 05/2001 → 11/2023
  Fsc Securities Corporation
  Owatonna, MN
• 06/2001 → Present
  Diversified Financial Advisory Group
  Owatonna, MN
• 11/2023 → Present
  Osaic Wealth, Inc.
  Owatonna, MN

Previous Registrations

• 2008-01-03 → 2023-11-03
  Fsc Securities Corporation
  Owatonna, MN
  Owatonna, MN
• 2015-12-16 → 2023-11-03
  Diversified Financial Advisory Group, Inc.
  Owatonna, MN
  West Des Moines, IA

Other Businesses

1. DBA HERZOG SWENSON ADVISOR GROUP... INSURANCE-DBA HERZOG SWENSON ADVISOR GROUP. 2. OWATONNA SCHOOL DISTRICT POSITION: Assistant tennis coach NATURE: non-profit INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 0 START DATE: 08/15/2023 ADDRESS: 515 West Bridge Street, Owatonna MN 55060, United States DESCRIPTION: tennis coach 3. HERZOG PROPERTIES, I POSITION: owner NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2004 ADDRESS: 1827 Creekside Drive, Owatonna MN 55060, United States DESCRIPTION: manage real estate leases/properties 4. HERZOG PROPERTIES, II POSITION: owner NATURE: Real estate property/mgmt. INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2005 ADDRESS: 1827 Creekside Drive, Owatonna MN 55060, United States DESCRIPTION: update leases and communication with tenants 5. AOTE FINANCIAL, INC POSITION: owner/advisor NATURE: S Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/02/2025 ADDRESS: 125 Landmark Drive, Suite #1, Owatonna MN 55060, United States DESCRIPTION: N/A

Exams

• S65 Uniform Investment Adviser Law Examination
  2008-03-14
• S63 Uniform Securities Agent State Law Examination
  2001-09-26

Other Names

• Christopher Mark Herzog