Derek Robert Ready

Current Employers

Employment History

• 06/2014 → 06/2024
  Securities America, Inc.
  Maple Grove, MN
• 06/2014 → 06/2024
  Securities America Advisors
  Maple Grove, MN
• 06/2024 → Present
  Osaic Wealth, Inc.
  St Louis Park, MN

Previous Registrations

• 2014-06-13 → 2024-06-14
  Securities America Advisors, Inc.
  St Louis Park, MN
  Maple Grove, MN
  Plymouth, MN
• 2014-01-29 → 2014-06-23
  Ameriprise Financial Services, Llc
  Minneapolis, MN

Other Businesses

1. DBA: SplitRock Financial Group 2. RESEARCH STUDY POSITION: Participant in study. NATURE: I am participating in a market research study on the topic of Communication from Asset Managers. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 05/15/2019 ADDRESS: 710 Estate Dr., Deerfield IL 60015 DESCRIPTION: Participating in a discussion concerning Communications from Asset Managers 3. INSURANCE POSITION: Producer NATURE: INSURANCE SALES - AGENT - INVESTMENT RELATED - START DATE: 09/2008 - LOCATED AT 4501 MINNETONKA BLVD STE 200 ST LOUIS PARK MN 55416 INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 09/01/2008 ADDRESS: 11204 86th Ave N, Maple Grove MN 55369 DESCRIPTION: I offer insurance products to clients based on their financial needs and goals. 4. DEREK READY POSITION: Speaker NATURE: Providing financial education (not product specific) in the form of verbal presentation (as well as possible visual by means of PowerPoint and handouts) to various businesses. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 05/05/2016 ADDRESS: 4501 Minnetonka Blvd., Ste. 200, St. Louis Park MN 55416 DESCRIPTION: We will be going around to local business (by initiation) speaking to and educating employees about general financial planning topics and provide general tips on what they can do to improve their financial situation. 5. WEALTH-READY, LLC POSITION: Owner/Advisor NATURE: Registered Investment Advisor INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 07/18/2023 ADDRESS: 11204 86th Ave N, Maple Grove MN 55369, United States DESCRIPTION: Work with clients for a fee in an advisory relationship on financial planning and/or investment management. Financial planning typically reviews clients' cash flow, net worth, goal progress, protection, investment analysis, and estate planning. Investment management typically involves assessing clients' risk tolerance, allocating portfolios across diversified holdings in line with their risk tolerance, assessing and monitoring investment performance, rebalancing, making adjustments when necessary. I can also include finding appropriate third party money managers to manage a client's portfolio

Exams

• S63 Uniform Securities Agent State Law Examination
  2008-08-04