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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2023-01-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Advanced Financial Consultants | Rochester | MN | 10/2021 | Present |
| Mayo Clinic | Rochester | MN | 11/2020 | 03/2021 |
| Unemployed | Rochester | MN | 04/2021 | 09/2021 |
| Mayo Clinic | Rochester | MN | 10/2019 | 11/2020 |
| Mayo Clinic | Rochester | MN | 02/2010 | 10/2019 |
| Osaic Wealth, Inc. | Rochester | MN | 07/2022 | Present |
| Carter Insurance Inc. | Rochester | MN | 01/2024 | Present |
1. COLLECTIVE FINANCIAL GROUP (CFG) POSITION: Social Media NATURE: Corporation? INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 5 START DATE: 11/04/2021. ADDRESS: 4840 North River Boulevard NE, Suite 100, Cedar Rapids IA 52411, United States DESCRIPTION: I create social media posts for CFG's LinkedIn page. Content sources: CFG Org or Ops calls, CFG Spotlight, CFG anniversaries, CFG conference, CFG FP recognitions, volunteerism, etc. We do about 2 posts per week, but it varies. I submit content through AdTrax for review and approval. 2. Advanced Financial / Advanced Financial Consultants POSITION: Paraplanner NATURE: DBA INVESTMENT RELATED: Yes NO NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 150 START DATE: 10/04/2021 ADDRESS: 2770 Commerce Drive NW Rochester Minnesota 55901 DESCRIPTION: Assist the advisors with paperwork and forms, attend client meetings and follow up. 3. ADVANCED FINANCIAL CONSULTANTS- FIXED INS POSITION: insurance agent NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 11/01/2023 ADDRESS: 2770 Commerce Drive, Rochester MN 55901, United States DESCRIPTION: Running life insurance quotes, helping with applications, earning a commission when policies are in-force. 4. ADVANCED FINANCIAL CONSULTANTS - SECURITIES POSITION: Financial Advisor NATURE: DBA INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 140 START DATE: 02/21/2024 ADDRESS: 2770 Commerce Drive NW, Rochester MN 55901, United States DESCRIPTION: Assists in developing client relationships, understanding client risks, goals, and overall investment/planning objectives, and helping to implement retirement and financial planning strategies,?andassists Derek Carter with client paperwork and forms, attend client meetings and follow up. 5. CARTER INSURANCE INC. POSITION: Contractor NATURE: Carter Ins is a corp for business expenses/income. INVESTMENT RELATED: No NUMBER OF HOURS: 55 SECURITIES TRADING HOURS: 45 START DATE: 01/01/2026 ADDRESS: 2770 Commerce Drive NW, Rochester MN 55901, United States DESCRIPTION: Servicing clients of Carter Insurance (Derek Carter) - both securities and fixed.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-12-31 |
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