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Current Employers
Focus Financial

1300 Godward Street Ne Suite 5500, Minneapolis, MN 55413 • United States

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2020-03-26
  • MN RA
    APPROVED
    Since 2020-03-26

Branch Locations

1300 Godward Street Ne Suite 5500, Minneapolis, MN 55413 • United States

Sartell, MN • 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. Sartell MN 02/2010 02/2018
Lpl Financial Llc Sartell MN 02/2018 11/2019
Osaic Wealth, Inc. Jersey City NJ 11/2019 Present
Focus Financial Minneapolis MN 03/2020 Present
  • 02/2010 → 02/2018
    Sii Investments, Inc.
    Sartell, MN
  • 02/2018 → 11/2019
    Lpl Financial Llc
    Sartell, MN
  • 11/2019 → Present
    Osaic Wealth, Inc.
    Jersey City, NJ
  • 03/2020 → Present
    Minneapolis, MN
Other Businesses

1. FOCUS FINANCIAL POSITION: insurance agent NATURE: Insurance Agency INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 11/21/2019 ADDRESS: 1608 Boulder Drive, Sartell MN 56377, United States DESCRIPTION: Sales and service of fixed insurance products 2. FOCUS FINANCIAL NETWORK INC. POSITION: Financial Advisor NATURE: RIA INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 03/12/2020 ADDRESS: 1608 Boulder Drive, Sartell MN 56377, United States DESCRIPTION: Portfolio construction Client Reviews Monitoring Markets Asset Allocation 3. PALISADE INVESTMENTS, INC. POSITION: president NATURE: S-Corp established for tax purposes to pay myself a salary from securities related business INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 11/15/2019 ADDRESS: 1608 Boulder Drive, Sartell MN 56377, United States DESCRIPTION: Established a S-Corp to pay myself a salary 4. PALISADE WEALTH POSITION: Financial advisor NATURE: Marketing name I use INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/14/2026 ADDRESS: 1608 Boulder Drive, Sartell MN 56377, United States DESCRIPTION: Using Palisade Wealth as a marketing name to market the services I offer

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-03-12
S63 Uniform Securities Agent State Law Examination 1996-02-27
  • S66 Uniform Combined State Law Examination
    2020-03-12
  • S63 Uniform Securities Agent State Law Examination
    1996-02-27

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