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Current Employers
Raymond James Financial Services Advisors, Inc

880 Carillon Parkway, Saint Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2026-01-14
MN RA APPROVED 2026-01-12
  • TX RA
    APPROVED_RES
    Since 2026-01-14
  • MN RA
    APPROVED
    Since 2026-01-12

Branch Locations

301 S State St, Fairmont, MN 56031 • United States

500 6Th Street, Armstrong, IA 50514 • United States

220 E Main St #210, Mankato, MN 56001 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Sii Investments, Inc. Fairmont MN 08/1997 02/2018
Lpl Financial Llc Fairmont MN 02/2018 01/2026
Raymond James Financial Services, Inc. Jackson MN 01/2026 Present
Raymond James Financial Services Advisors, Inc. Jackson MN 01/2026 Present
Bank Midwest Fairmont MN 01/2026 Present
Previous Registrations
  • 2018-02-14 → 2026-01-13
    Fairmont, MN
    Armstrong, IA
    Armstrong, IA
  • 2008-05-06 → 2018-02-15
    Sii Investments, Inc.
    Armstrong, IA
    Fairmont, MN
    Sherburn, MN
    Winnebago, MN
    Fairmont, MN
    New Ulm, MN
    Appleton, WI
Other Businesses

(1)Name of Business: Midwest Wealth Group Address: 301 S State St, Fairmont, MN, 56031-4146, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 01/10/2000 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Financial Advisor - this is our DBA

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-05-05
S65 Uniform Investment Adviser Law Examination 1999-08-12
S63 Uniform Securities Agent State Law Examination 1993-07-29
  • S66 Uniform Combined State Law Examination
    2008-05-05
  • S65 Uniform Investment Adviser Law Examination
    1999-08-12
  • S63 Uniform Securities Agent State Law Examination
    1993-07-29

View on SEC IAPD

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