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Rose Ellyn Hammes - Nestor

Focus Financial

Woodbury, MN

CRD 3112712

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Employer firm

Focus Financial CRD 116140

$6.82B regulatory AUM 105 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Focus Financial

1300 Godward Street Ne Suite 5500, Minneapolis, MN 55413 • United States

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2014-08-28
  • MN RA
    APPROVED
    Since 2014-08-28

Branch Locations

563 Bielenberg Drive Suite 245, Woodbury, MN 55125 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Focus Financial/Royal Alliance Woodbury MN 08/2016 06/2018
Focus Financial/Osaic Wealth, Inc. Woodbury MN 06/2018 Present
  • 08/2016 → 06/2018
    Focus Financial/Royal Alliance
    Woodbury, MN
  • 06/2018 → Present
    Focus Financial/Osaic Wealth, Inc.
    Woodbury, MN
Other Businesses

FOCUS FINANCIAL POSITION: Financial Advisor NATURE: Corporation/Registered Investment Advisor INVESTMENT RELATED: Yes NUMBER OF HOURS: 128 SECURITIES TRADING HOURS: 128 START DATE: 10/23/2007 ADDRESS: 563 Bielenberg Drive, Suite 245, Woodbury MN 55125, United States DESCRIPTION: Meet with clients as direct by David Beissler. Review with clients their overall financial plan such as retirement planning, estate planning, tax planning, etc.Support team with operations, compliance and any duties needed to help our clients meet their financial goals. FOCUS FINANCIAL POSITION: Financial Advisor NATURE: Corporation/Registered Investment Advisor INVESTMENT RELATED: Yes NUMBER OF HOURS: 128 SECURITIES TRADING HOURS: 128 START DATE: 10/23/2007 ADDRESS: 635 Bielenberg Drive, Suite 210, Woodbury MN 55125, United States DESCRIPTION: Meet with clients as direct by David Beissler. Review with clients their overall financial plan such as retirement planning, estate planning, tax planning, etc.Support team with operations, compliance and any duties needed to help our clients meet their financial goals.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-02-07
S63 Uniform Securities Agent State Law Examination 2000-04-10
  • S66 Uniform Combined State Law Examination
    2014-02-07
  • S63 Uniform Securities Agent State Law Examination
    2000-04-10
Other Names
  • Rose Nestor
  • Rose Hammes
  • Rose E Hammesnestor
  • Rose Hammes-Nestor
  • Rose Ellyn Hammesnestor

View on SEC IAPD

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