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1300 Godward Street Ne Suite 5500, Minneapolis, MN 55413 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-01-11 |
| MN | RA | APPROVED | 2017-08-08 |
Branch Locations
350 West Burnsville Parkway Suite 575, Burnsville, MN 55337 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Gca Family Farms Inc. | Maynard | MN | 01/2004 | Present |
| H.D. Vest Investment Services | Wilmar | MN | 02/2014 | 07/2017 |
| Hd Vest Advisory Services | Clara City | MN | 03/2015 | 07/2017 |
| Hd Vest Insurance Agency Inc | Irving | TX | 02/2016 | 07/2017 |
| Royal Alliance Associates, Inc. | Jersey City | NJ | 07/2017 | 06/2023 |
| Focus Financial Network Inc. | Minneapolis | MN | 07/2017 | Present |
| Osaic Wealth, Inc. | Jersey City | NJ | 06/2023 | Present |
1. FOCUS FINANCIAL NETWORK, INC. POSITION: Insurance Agent NATURE: Insurance Agency INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 07/31/2017 ADDRESS: 350 West Burnsville Parkway, Suite 575, Burnsville MN 55337, United States DESCRIPTION: Sales and servicing insurance business needs. 2. FOCUS FINANCIAL POSITION: Financial Advisor NATURE: Registered Investment Advisor INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 07/31/2017 ADDRESS: 350 West Burnsville Parkway, Suite 575, Burnsville MN 55337, United States DESCRIPTION: Trading, Planning, Asset Allocation, Meeting with Clients, Phone Calls, Paperwork. 3. WEP INC POSITION: Owner NATURE: WEP Inc is an S-Corp. INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 05/06/2004 ADDRESS: 350 W Burnsville Parkway, Suite 575, Burnsville MN 55337, United States DESCRIPTION: WEP Inc is an S-Corp that I established for my financial planning practice. I do not market the corporate name at all and do not conduct any other business through the S-Corp (other than my securities business through Focus Financial and Royal Alliance).
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-02-24 |
| S63 | Uniform Securities Agent State Law Examination | 2014-09-03 |
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