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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 | 2015-10-29 |
| MN | RA | APPROVED | 2013-12-09 |
Branch Locations
1300 Godward Street Ne Suite 5500, Minneapolis, MN 55413 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Royal Alliance Associates, Inc. | Roseville | MN | 05/1999 | 06/2023 |
| Focus Financial Network, Inc. | Roseville | MN | 04/1999 | Present |
| Osaic Wealth, Inc. | Roseville | MN | 06/2023 | Present |
1. FOCUS FINANCIAL NETWORK, INC. POSITION: Financial Advisor NATURE: Registered Investment Adviser - INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 100 START DATE: 04/01/1999 ADDRESS: 1300 Godward Street NE 5500, Mpls MN 55413, United States DESCRIPTION: Personalized comprehensive financial planning taking into account, investment asset management, net worth review, tax management, college funding, insurance analysis, estate preservation, and ongoing review 2. FOCUS FINANCIAL NETWORK, INC. POSITION: Statutory Agent - NATURE: Insurance Agency - INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 04/01/1999 ADDRESS: 1300 Godward Street NE, Suite 5500, Mpls MN 55413, United States DESCRIPTION: Review of protection planning strategies including current policies as well as proposed, long term care, life, health, disability insurances and variable annuities with living guarantees.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-11 |
| S63 | Uniform Securities Agent State Law Examination | 1999-06-17 |
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