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Current Employers
Split Rock Private Trading And Wealth Management Llc

105 Arch St, Cloquet, MN 55720 • United States

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2020-05-08
  • MN RA
    APPROVED
    Since 2020-05-08

Branch Locations

105 Arch St, Cloquet, MN 55720 • 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
North Compass Financial Advisors, Llc Grand Rapids MN 05/2008 09/2020
North Compass Financial Advisors, Llc Grand Rapids, Mn MN 06/2008 09/2020
Split Rock Private Trading And Wealth Management L Cloquet MN 05/2020 Present
Bear Valley Financial, Llc Carlton MN 10/2022 Present
Previous Registrations
Other Businesses

Licensed Insurance agent in MN and WI for Life, Health and Variable Annuity. Name of outside business: Bear Valley Financial, ,LLC; ADV Category: insurance company or agency; Is the business investment related: Yes; Location of the business: 2575 Bear Valley Drive Carlton Minnesota... 55718 United States; Description of the business: Insurance Agency; Position Title: owner/agent; Responsibilities Duties: sales/mgmt.; Start date with business: 2022-10-01; Hours per month devoted to business during trading hours: 15; Hours per month devoted to business outside trading hours: 15; Percentage of total yearly compensation expected to be derived from the business: 5; Will an IRS form for income earned be received: Yes; Contact person at the organization: Dale Anich; Owner; Buck and Bull; investment related: No; Location: 105 Arch Street Cloquet MN 55720 United States; Description of the business: A passive rental property used for cattle grazing.; Responsibilities Duties: Management of the property.; Start date with business: 2023-01-25; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: 2; Percentage of total yearly compensation expected to be derived from the business: 1;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-12-07
S63 Uniform Securities Agent State Law Examination 1984-07-16
  • S65 Uniform Investment Adviser Law Examination
    2000-12-07
  • S63 Uniform Securities Agent State Law Examination
    1984-07-16

View on SEC IAPD

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