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Brochure Supplement for: Brad K. North - PDF
Brochure Supplement for: Brad K. North
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1 Brochure Supplement for: Brad K. North 2701 University Ave SE Minneapolis, MN CRI Securities, LLC and Securian Financial Services, Inc. 400 Robert Street North, St. Paul, MN October 10, 2013 Your financial advisor is an investment advisor representative of both CRI Securities, LLC ( CRI ) and Securian Financial Services, Inc. ( Securian ). CRI and Securian (each a Firm ) are affiliates and each is a Registered Investment Advisor. Your financial advisor may offer investment advisory services through either Firm. This Brochure Supplement provides information about your financial advisor that supplements the separate Brochure or Wrap Fee Program Brochure describing the investment advisory services offered by Securian Financial Services, Inc. ( Securian ). You should have received a copy of that Brochure. Please call Securian s Service Center at if you did not receive Securian s Brochure or Wrap Fee Program Brochure or if you have any questions about the contents of this Supplement. Additional information about your financial advisor is available on the SEC s website at Information regarding your financial advisor may not appear on this website if your financial advisor is not required to register in the state in which you reside or in other states in which your advisor conducts business. Securities and investment advisory services offered through Securian Financial Services, Inc., Member FINRA/SIPC. Page 1 of 52 Educational Background and Business Experience Brad K. North year of birth: 1975 Formal Education University of Wisconsin, Eau Claire Bachelors Degree Business Administration Business Background Present Financial Advisor, North Star Resource Group Designations CFP CERTIFIED FINANCIAL PLANNER TM The CERTIFIED FINANCIAL PLANNER TM designation provides an advisor with the ability to apply financial planning concepts to real-life financial planning situations. To earn the CFP an advisor must have a Bachelor s Degree, have at least three years of full-time financial planning related experience, and complete course work in the following areas: insurance planning and risk management, employee benefits planning, investment planning, income tax planning, retirement planning, and estate planning. The advisor must pass a comprehensive 10 hour examination. Additionally, advisors must abide by a code of ethics and complete continuing education requirements. Disciplinary Information Financial Advisors are required to disclose all material facts regarding any legal or disciplinary events that may be material to your evaluation of their integrity with respect to providing you investment advice. Your financial advisor does not have any disclosable legal or disciplinary event(s). Additional information about your financial advisor can also be found on BrokerCheck at: BrokerCheck is a free tool to help investors research the professional backgrounds of FINRA registered firms and financial advisors. Other Business Activities In addition to providing the investment advisory services described in CRI s or Securian s Brochure or Wrap Fee Program Brochure, your financial advisor may also separately engage in the sale of mutual funds and other securities as a registered representative of CRI or Securian. When selling variable insurance products, your financial advisor acts as a registered representative of only Securian, and also acts as an insurance agent for each issuer of such variable insurance products, including Securian s (and CRI s) affiliated life insurance company, Minnesota Life Insurance Company ( Minnesota Life ). Your financial advisor may only sell variable insurance products offered through Securian, but is not required to sell variable products issued by Securian s affiliate, Minnesota Life. Your financial advisor may also provide occasional investment advice to clients that is incidental to the brokerage services provided and for which the financial advisor does not receive any special compensation. Page 2 of 53 In your financial advisor s capacity as a CRI or Securian registered representative, your financial advisor will receive commissions or other forms of compensation from CRI or Securian for such securities brokerage services. CRI, Securian and their affiliated life insurance company also jointly sponsor a field recognition program under which they award non-cash credits to your financial advisor for the sale of variable insurance products and other investment products and services, including investment advisory services. These credits allow your advisor to attend conventions and other meetings sponsored by CRI, Securian and their affiliated life insurance company, and cover such things as paid travel and accommodations at such conventions and meetings. In accordance with rules of the Financial Industry Regulatory Authority (FINRA), these non-cash benefits are based on the total production of each financial advisor with respect to all products (in the same category) sold through CRI or Securian, and the credit awarded for each product sold in a category is equally weighted, without regard to the product s issuer or its affiliation with the Firm. Registered representatives are required to recommend only those securities transactions that are suitable for a customer, based on the customer s investment objectives and financial circumstances. CRI and Securian each reviews all recommendations by its registered representatives to ensure that such recommendations are suitable. In addition, when acting as an investment advisor representative offering the investment advisory services described in CRI s or Securian s Brochures, your financial advisor is required to act in your best interests. Each Firm also monitors your financial advisor s investment advisory activities for compliance with this obligation. Separate from your financial advisor s relationship with CRI or Securian, your financial advisor engages in other business activities that are not regulated or supervised by CRI or Securian. The following non-cri and non-securian activities involve at least 10% of your financial advisor s time or represent at least 10% of your financial advisor s income: The sale of the following products: fixed life insurance, fixed annuities, disability insurance, property and casualty insurance, long-term care insurance, health insurance and/or group benefits. Your financial advisor is compensated for such activity by the unaffiliated businesses offering such services or by the individuals seeking such services, and not necessarily by CRI or Securian. Additional Compensation Your financial advisor is compensated by CRI or Securian as a result of your engaging CRI or Securian to provide investment advisory services to you. The amount of that compensation may be more for some of CRI s or Securian s programs than for others, or more than what your financial advisor would earn if you paid separately for services that CRI or Securian may bundle together (e.g. paying separately for investment advice and brokerage services). Non-Cash Compensation from Securian and/or CRI or Our Affiliates As described above, CRI, Securian and their affiliated life insurance company award credits to your financial advisor for the sale of investment advisory services, as well as for sales of variable insurance Page 3 of 54 products and other securities, that allow your financial advisor to attend conventions and other meetings sponsored by CRI, Securian and their affiliated life insurance company, including paid transportation, hotel accommodations, and meals at such conventions and meetings. All credits for products in the same category are equally weighted, so that products issued by affiliated companies do not receive greater credits than comparable products issued by unaffiliated companies. Your financial advisor is also eligible for financing arrangements, no-cost training, group health and/or life insurance benefits, retirement benefits, deferred compensation benefits, and other benefits from Minnesota Life. Non-Cash Compensation from Third Parties In connection with the investment advisory services offered by CRI or Securian, certain third parties (e.g. portfolio managers, investment managers, sub-managers, custodians, or clearing brokers) may provide other non-cash benefits to your financial advisor, such as occasional meals or tickets to sporting or entertainment events. In addition, some of those third parties sponsor or participate in product conferences or training events and, with CRI s or Securian s approval, may provide your financial advisor with paid transportation, hotel accommodations and meals for such events. Marketing & Other Assistance Third party service providers in some of CRI s or Securian s investment advisory programs may provide your financial advisor with additional financial support by reimbursing your financial advisor for certain marketing related expenses, such as client seminars, client appreciation events, and donations to charities or charitable events. In general, such reimbursement or donations create a potential conflict of interest for your financial advisor, but CRI and Securian seek to limit such conflicts by maintaining policies that monitor the amount of financial support your financial advisor may receive. For more information about the other compensation and the benefits received by your financial advisor, please contact your financial advisor. Supervision Your financial advisor s activities on behalf of both CRI and Securian are supervised by Dave Vasos, Managing Partner, CRI and Securian have established and maintain policies and procedures reasonably designed to detect and prevent violations of the Investment Advisers Act of 1940 and rules and regulations related to that Act. These include a Code of Ethics, described in CRI s or Securian s Brochure or Wrap Fee Program Brochure. CRI and Securian also utilize an internal testing process in conjunction with regular audits to supervise its financial advisors, including your financial advisor. Pursuant to these policies, CRI and Securian review the recommendations of your financial advisor for suitability. CRI and Securian also monitor your financial advisor s investment advisory activities and receipt of cash and non-cash compensation to ensure adequate disclosure of conflicts of interest or, where appropriate, to avoid them. Page 4 of 55 These policies and procedures are designed to prevent your financial advisor from acting in any way that is inconsistent with CRI s and Securian s legal obligations to you, including the requirement that your financial advisor place your interests first. Page 5 of 5 Similar documents
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Investment Advisor Brochure Form ADV Part 2A December 16, 2015 Kadisak Financial Services, Inc. 710 E. Ogden Ave., Suite 130 Naperville, IL 60563 Phone: 630-369-3336 Fax: 630-369-3337 Email: roger@kfs.comcastbiz.net More information TERI M. HOLLANDER ALBIN
TERI M. HOLLANDER ALBIN 110 Main Street P O Box 98 Evansville, IN 47708 812-426-1481 J.J.B. Hilliard, W.L. Lyons, LLC 500 West Jefferson Street Suite 700 Louisville, KY 40202 800-444-1854 April 23, 2015 More information Custom Wealth Manager Wrap Fee Program Brochure
Custom Wealth Manager Wrap Fee Program Brochure March 30, 2016 Lincoln Financial Securities Corporation 1300 South Clinton St., Suite 150 Fort Wayne, IN 46802 (800) 258-3648 www.lfsecurities.com This wrap More information Custom Wealth Manager Wrap Fee Program Brochure
Custom Wealth Manager Wrap Fee Program Brochure March 26, 2015 Lincoln Financial Securities Corporation One Granite Place Concord, NH 03301-3258 (800) 258-3648 www.lfsecurities.com This wrap fee program More information Financial Planning Services
UBS Financial Services Inc. SEC File Number 801-7163 1000 Harbor Boulevard March 31, 2015 Weehawken, NJ 07086 (201)352-3000 http://financialservicesinc.ubs.com Financial Planning Services This brochure More information WRAP FEE PROGRAM BROCHURE. McMahon Financial Advisors Wrap Fee Program
McMahon Financial Advisors Wrap Fee Program Sponsored By 650 Washington Road, Suite 1000 Pittsburgh, PA 15228 (412) 343-8700 www.mfa-wealth.com March 30, 2016 This brochure provides information about the More information IMPORTANT QUESTIONS YOU SHOULD ASK ABOUT
IMPORTANT QUESTIONS YOU SHOULD ASK ABOUT JAMES KIRBY ACCOUNTANCY CORPORATION JAMES KIRBY ACCOUNTANCY CORPORATION Registered Investment advisor 2601 Saturn Street, Suite 106 Brea, CA 92821 6702 (714) 203 More information Investment advisory and brokerage services
Investment advisory and brokerage services A guide to what you should know before investing with us Differences in our services Wells Fargo Advisors can offer brokerage and investment-advisory account More information William R. Verhagen CFP, CPA, CFS, CLU, ChFC, CASL. 357 East Winslow Road Bloomington, IN 47401 812-337-1999. www.ioms.com.
Item 1 Cover Page William R. Verhagen CFP, CPA, CFS, CLU, ChFC, CASL 357 East Winslow Road Bloomington, IN 47401 812-337-1999 www.ioms.com January 1, 2015 This Brochure provides information about the qualifications More information REDROCK WEALTH MANAGEMENT, LLC 9480 South Eastern Avenue Suite 251 Las Vegas, Nevada 89123
REDROCK WEALTH MANAGEMENT, LLC 9480 South Eastern Avenue Suite 251 Las Vegas, Nevada 89123 Phone: 702-987-1607 Fax: 866-850-0922 Web Site: www.redrockwealth.com March 23, 2016 FORM ADV PART 2A. BROCHURE More information ADV Part 2A Date of Brochure = 28 May 2013
March 3, 2014 ADV Part 2A Date of Brochure = 28 May 2013 MWBoone and Associates, LLC 777 108 th Ave NE, Suite 2230 Bellevue, WA 98004 425-462-6406 www.mwboone.com This brochure provides information about More information Part 2A of Form ADV Firm Brochure
Part 2A of Form ADV Firm Brochure Financial Planning Services Brochure D.A. Davidson & Co. 8 Third Street North Great Falls, MT 59401 406-727-4200 www.dadavidson.com December 15, 2014 This wrap fee program More information Part 2A of Form ADV: Firm Brochure
Part 2A of Form ADV: Firm Brochure Item 1 Cover Page A. VL Capital Management LLC 55 West Church Street Orlando, FL 32801 Mailing Address: P.O. Box 1493 Orlando, FL 32802 Phone: (407) 412-6298 Effective More information Baldwin Financial Advisors, LLC
Baldwin Financial Advisors, LLC 301 South Burton Place Arlington Heights, IL 60005 Telephone: (847) 253-3185 Facsimile: (847) 253-6035 www.baldwinfinancialadvisors.com March 4, 2015 FORM ADV PART 2A DISCLOSURE More information 2900 McKinnon, Apt #1708 Dallas, TX 75201 800-829-7273 www.johnmauldin.com IARD#114323
Part 2A of Form ADV: Firm Brochure Item 1 Cover Page 2900 McKinnon, Apt #1708 Dallas, TX 75201 800-829-7273 www.johnmauldin.com IARD#114323 This brochure provides information about the qualifications and More information Johanson Financial Advisors, Inc. 2105 South Bascom Avenue, Suite 255 Campbell, CA 95008. Firm Contact: Lynda Tu Chief Compliance Officer
Part 2A of Form ADV: Firm Brochure Item 1: Cover Page June 2015 Johanson Financial Advisors, Inc. 2105 South Bascom Avenue, Suite 255 Campbell, CA 95008 Firm Contact: Lynda Tu Chief Compliance Officer More information Haviland & Sams, LLC Form ADV Part 2A Investment Adviser Brochure
Haviland & Sams, LLC Form ADV Part 2A Investment Adviser Brochure March 2013 This brochure provides information about the qualifications and business practices of Haviland & Sams, LLC. If you have any More information All Season Financial Advisors, Inc. All Season Financial Advisors, Inc.
Item 1 Cover Page All Season Financial Advisors, Inc. SEC File Number: 801 16626 All Season Financial Advisors, Inc. Brochure Dated 3/12/2015 Contact: Samuel F. Jones, Chief Compliance Officer 731 Sherman More information GLOBAL WEALTH MANAGEMENT
FIRM BROCHURE FORM ADV PARTS 2A and 2B Global Wealth Management 3334 E. Coast Hwy, #101 Corona del Mar, CA 92625 Telephone: (949) 892-7700 Facsimile: (949) 334-1333 www.gwmllc.com January 15, 2014 This More information Castle Financial Advisors, LLC Part 2A of Form ADV The Brochure
Castle Financial Advisors, LLC Part 2A of Form ADV The Brochure 145 Marcus Blvd, Suite 1, Hauppauge, NY 11788 www.castlefinancialadvisors.com Updated: March 2011 This brochure provides information about More information August 25, 2014 FORM ADV PART 2A BROCHURE
Sparrow Wealth Management 10080 West Alta Drive, Suite 125 Las Vegas, NV 89145 Phone: 877-330-9191 Fax: 877-330-9191 Web Site: www.sparrowwealth.com August 25, 2014 FORM ADV PART 2A BROCHURE This brochure More information Nationwide Securities, LLC. Form ADV Part 2A ( Brochure )
Nationwide Securities, LLC Form ADV Part 2A ( Brochure ) 10 West Nationwide Blvd, 5-01-103A Columbus, OH 43215 1-877-233-3370 www.mynfn.com March 28, 2016 This Brochure provides information about the qualifications More information Financial Planning Brochure
Item 1: Cover page Financial Planning Brochure This brochure provides information about the qualifications and business practices of Meritage Wealth Advisory, LLC, which also uses Meritage Wealth Advisory More information Firm Brochure (Part 2A of Form ADV)
Firm Brochure (Part 2A of Form ADV) 275 Hill Street, Suite 210 Reno, NV 89501 PHONE: 775-674-2222 FAX: 775-348-8708 WEBSITE: www.nvretirementplanners.com EMAIL: info@nvretirementplanners.com This brochure More information RIVER WEALTH ADVISORS LLC
June 1, 2015 RIVER WEALTH ADVISORS LLC a Registered Investment Adviser 3401 North Front Street, Suite 303 Harrisburg, PA 17110 (844) 784-7065 www.riverwealthadvisors.com This brochure provides information More information Form ADV Part 2B Brochure Supplement Jeffery Dane Brookshire and Graham Stuart Guess
Form ADV Part 2B Brochure Supplement Jeffery Dane Brookshire and Graham Stuart Guess Item 1 Cover Page Jeffery Dane Brookshire and Graham Stuart Guess Pacific Wealth Strategies Group, Inc. 4213 State Street, More information Financial Designs Corporation
Nino Gabriel Pavan Financial Designs Corporation 540 W. Baseline Rd., #10 Claremont, CA 91711 Toll Free (800) 823-0398 Phone (909) 626-1642 Fax (909) 626-1529 fdc@fdcadvisors.com www.financialdesignscorp.com More information M Group Investment Advisor, LLC
M Group Investment Advisor, LLC 401 Crater Lake Ave. Suite 5 Medford, OR 97504 www.planwithm.com Telephone: 541-708-1922 Facsimile: 888-473-4147 March 28, 2015 FORM ADV PART 2A BROCHURE This brochure provides More information 2017 © DocPlayer.net Privacy Policy | Terms of Service | Feedback