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Current Employers
Gradient Advisors, Llc

4105 Lexington Avenue N. Suite 225, Arden Hills, MN 55126 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2014-11-13
  • IL RA
    APPROVED
    Since 2014-11-13

Branch Locations

4105 Lexington Avenue N. Suite 225, Arden Hills, MN 55126 • United States

21 S. La Grange Rd, Ste 200 Office# V-007, La Grange, IL 60525 • 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
Gradient Advisors, Llc Arden Hills MN 11/2014 Present
Previous Registrations
  • 2010-06-30 → 2014-11-14
    Downers Grove, IL
    Oak Park, IL
  • 2009-09-14 → 2010-07-08
    Oak Park, IL
    San Diego, CA
    Oak Park, IL
  • 2009-05-04 → 2009-09-09
    Waterstone Financial Group, Inc.
    Barrington, IL
    Palatine, IL
    Oak Park, IL
  • 2006-04-13 → 2009-04-01
    Wolf Financial Management, Llc
    Oak Brook, IL
    Oakbrook Terrace, IL
  • 2005-11-01 → 2006-03-31
    Voya Financial Partners, Llc
    Phoenix, AZ
Other Businesses

1)Brian Plain - Business Consultant - Consulting services provided to small business owners focused on business management and growth. Start Date: 06/01/2015, 6 hours a month

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-10-24
S63 Uniform Securities Agent State Law Examination 2004-11-10
  • S65 Uniform Investment Adviser Law Examination
    2005-10-24
  • S63 Uniform Securities Agent State Law Examination
    2004-11-10
Designations
Other Names
  • Brian Plain

View on SEC IAPD

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