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1400 Urban Center Drive Suite 475, Vestavia Hills, AL 35242-2245 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2025-01-24 |
| MI | RA | APPROVED | 2025-01-24 |
Branch Locations
N9980 Shore Drive, Au Train, MI 49806 • United States
9200 E Mineral Ave #100, Centennial, CO 80112 • United States
1400 Urban Center Drive Suite 475, Vestavia Hills, AL 35242-2245 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Denver | CO | 01/2011 | 11/2016 |
| Raymond James & Associates, Inc. | Denver | CO | 11/2016 | 01/2025 |
| Rfg Advisory, Llc | Au Train | MI | 01/2025 | Present |
| Private Client Services | Centennial | CO | 01/2025 | Present |
1) TrekNorth Investment Management. 9200 E. Mineral Ave, Suite 100, Centennial, CO 80112. DBA. Owner/Founder/Advisor. 160 hrs/mo; 160 during trading hrs. Investment related. 2) RFG Advisory. 1400 Urban Center Drive, Ste 475, Birmingham, AL 35242. RIA. 160 hrs/mo; 160 during trading hrs. 3) The Pinnacle Group. 12724 Gran Bay Pkwy, Bldg 1, Ste 150, Jacksonville, FL 32258. Insurance IMO. Agent/VA/Life. 4 hrs/mo; 4 during trading hrs. Investment related. 4) SSM1 LLC. N 9980 Shore Drive, Au Train, MI 49806. Real Estate in Minnestoa. Passive rental property ownership. Engaged property manager to manage day to day operations. Member. 0-1 hr/mo; 0-1 during trading hrs. Not investment related. 5) GWG Ventures LLC. N9980 Shore Drive, Au Train, MI 49806. Real Estate Property Management. Member. 0-1 hr/mo; 0-1 during trading hrs. Not investment related. 6) UPMICO LLC. Real Estate Development and Rental Property Ownership. Member. 0-1 hr/mo; 0-1 during trading hrs. Not investment related. 7) Political Office: Onota Township Board of Review. E4161 Deerton-Sand Road. Deerton, MI 49822. Township Government. Appointed Government Office. 2-10 hrs/mo; 0-1 during trading hrs. Not investment related. 8) Michigan State DNR ORV Trails Committee. PO Box 30257, Lansing, MI 48909. Committee Member. Appointed to workgroup to advance and promote ORV trail use for the state of MI. 2 hrs/mo; 0 during trading hrs. Not investment related. 9)TrekNorth Property Management LLC; Business is not investment related; E3499 Old M28 Au Train, MI. 49806; Passive real estate investment in Bed & Breakfast operation; 50% owner; Member. Engaged in outside property manager to manage day to day operations; Effective 01/03/2025; 1 hour per month; 1 hour during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-08-24 |
| S63 | Uniform Securities Agent State Law Examination | 1991-12-05 |
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