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Current Employers
Gradient Securities, Llc

4105 Lexington Avenue N Suite 380, Arden Hills, MN 55126 • United States

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2019-04-03
NC RA APPROVED 2019-04-02
SC RA APPROVED 2019-04-02
  • GA RA
    APPROVED
    Since 2019-04-03
  • NC RA
    APPROVED
    Since 2019-04-02
  • SC RA
    APPROVED
    Since 2019-04-02

Branch Locations

4105 Lexington Avenue Suite 380, Arden Hills, MN 55126 • US

4105 Lexington Avenue N Suite 380, Arden Hills, MN 55126 • United States

1212 Haywood Road, Bldg 300 Suite D, Greenville, SC 29615 • 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
The Retirement Company Llc Greenville SC 09/2003 Present
Securities America, Inc. Greenville SC 03/2016 04/2019
Securities America Advisors Greenville SC 03/2016 04/2019
Gradient Securities, Llc Arden Hills MN 04/2019 Present
  • 09/2003 → Present
    The Retirement Company Llc
    Greenville, SC
  • 03/2016 → 04/2019
    Securities America, Inc.
    Greenville, SC
  • 03/2016 → 04/2019
    Securities America Advisors
    Greenville, SC
  • 04/2019 → Present
    Arden Hills, MN
Previous Registrations
  • 2016-03-10 → 2019-04-02
    Securities America Advisors, Inc.
    Greenville, SC
  • 2015-07-02 → 2016-03-10
    Cetera Wealth Services, Llc
    Greenville, SC
    El Segundo, CA
  • 2012-07-03 → 2015-07-01
    Questar Asset Management, Inc.
    Minneapolis, MN
    Greenville, SC
  • 2008-06-10 → 2012-07-10
    Invest Financial Corporation
    Appleton, WI
    Travelers Rest, SC
  • 2007-05-07 → 2008-06-09
    Gunnallen Financial, Inc
    Travelers Rest, SC
  • 2005-10-12 → 2007-05-04
    Travelers Rest, SC
  • 2004-08-13 → 2005-10-07
    Travelers Rest, SC
  • 2003-06-30 → 2004-07-01
    Tower Square Securities, Inc.
    Greenville, SC
  • 2003-01-16 → 2003-06-30
    Greenville, SC
Other Businesses

1. THE RETIREMENT COMPANY, LLC; INVESTMENT RELATED; 1212 HAYWOOD ROAD, BLDG 300, SUITE D, GREEVILLE, SC 29615; INSURANCE; PRESIDENT; START 09/2003; 80 HOURS PER MONTH; 80 HOURS DURING SECURITIES TRADING HOURS; SALES OF FIXED INSURANCE PRODUCTS AND DBA NAME FOR SECURITIES AND ADVISORY BUSINESS.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-11-04
S63 Uniform Securities Agent State Law Examination 1992-08-31
  • S65 Uniform Investment Adviser Law Examination
    1999-11-04
  • S63 Uniform Securities Agent State Law Examination
    1992-08-31
Designations
Other Names
  • Mike Allison

View on SEC IAPD

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