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Focus Financial CRD 116140
$6.82B regulatory AUM 105 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1300 Godward Street Ne Suite 5500, Minneapolis, MN 55413 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2022-02-03 |
Branch Locations
1300 Godward Street Ne Suite 5500, Minneapolis, MN 55413 • United States
18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2021-09-01 |
| NJ | RA | APPROVED | 2009-12-15 |
Branch Locations
Cortlandt Manor, NY • United States
1300 Godward St Ne Suite 5500, Minneapolis, MN 55413 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Osaic Wealth, Inc. | New York | NY | 08/2007 | 08/2021 |
| Osaic Wealth, Inc. | Minneapolis | MN | 08/2021 | Present |
| Focus Financial | Minneapolis | MN | 09/2021 | Present |
1. FOCUS FINANCIAL POSITION: Compliance Specialist NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 09/20/2012 ADDRESS: 1300 Godward St NE, Minneapolis MN 55413, United States DESCRIPTION: Perform compliance related activities.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-12-08 |
| S63 | Uniform Securities Agent State Law Examination | 1999-07-21 |
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