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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2025-02-20 |
Branch Locations
2000 Old West Main Street Suite 400 4Th Floor, Red Wing, MN 55066 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Dougherty & Company Llc | Minneapolis | MN | 11/2002 | 01/2017 |
| Investment Centers Of America, Inc. | Red Wing | MN | 01/2017 | 11/2017 |
| Concourse Financial Group Securities Inc | Red Wing | MN | 11/2017 | 02/2025 |
| (Dba) Great River Wealth Management Llc | Red Wing | MN | 11/2017 | Present |
| Cetera Wealth Services, Llc | Red Wing | MN | 02/2025 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 02/2025 | Present |
1) (dba) GREAT RIVER WEALTH MANAGEMENT LLC; Investment Related; 2000 Old West Main Street, Suite 400, 4th Floor, Red Wing, MN 55066; Financial Services; President; Start Date 11/2017; 160 hours per month with all of these hours occurring during trading hours; Financial Services by a hybrid model RIA fees and broker commissions. >> 2) STAINLESS STONE LLC; Non-Investment Related; Red Wing, MN 55066; Cookware; Owner/President; Start Date 10/2020; 8 hours per month with no hours occurring during trading hours; Sale of surgical stainless steel, food grade, baking pizza stone; Order, package, and ship pizza stones via Internet sales. 3) NAME OF OTHER BUSINESS: GREAT RIVER WEALTH MANAGEMENT LLC INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: INSURANCE SERVICES; START DATE: 02/2026; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: LIFE INSURANCE;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-10-23 |
| S63 | Uniform Securities Agent State Law Examination | 1983-03-31 |
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