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Registered Broker Dealer
Firm Name City State Country Assets ($M) 
Advanced Advisor Group, LLC Cambridge MN US 6.6 
American Investors Group, Inc. Minnetonka MN US 47.5 
Ameriprise Financial Service, Inc. Minneapolis MN US 198002.7 
Capital Management Associates Inc Minneapolis MN US 653.8 
Cliftonlarsonallen Wealth Advisors, LLC Minneapolis MN US 2881.2 
Cocoon Investment Management Bloomington MN US 1.7 
Cri Securities, LLC St.paul MN US 970.5 
Dorn & Co., Inc. Fergus Falls MN US 0.0 
Dougherty & Company LLC Minneapolis MN US 122.1 
Gradient Wealth Management Arden Hills MN US 55.5 
Northland Asset Management Minneapolis MN US 122.5 
Piper Jaffray & Co. Minneapolis MN US 393.8 
Planners Financial Service, Inc. Mendota Heights MN US 91.7 
Redhawk Investment Advisors Bloomington MN US 0.0 
Securian Financial Service, Inc. St Paul MN US 7655.3 
The Oak Ridge Financial Service Group, Inc Golden Valley MN US 167.8 
Thrivent Investment Management Inc. Minneapolis MN US 8706.2 
U.s. Bancorp Investments, Inc. Saint Paul MN US 6170.6 
Woodbury Financial Service, Inc. Oakdale MN US 3251.7 
What is a broker-dealer?
A broker-dealer is a financial firm that trades securities either for its own account or on behalf of other firms. If a broker-dealer firm is trading securities on behalf of a customer account, it is acting as an agent or a broker whereas if the broker-deal firm is trading securities on behalf of its own account, it is acting as a principal or a dealer.

Broker-Dealer Registration
Most brokers and dealers must register with the SEC unless they transact all of their business within one state, in which case they are required to have a state registration. Those broker-dealers that advice or offer fee-based accounts generally must also register as an investment advisor. Investment advisors file Form ADV to register with the SEC or the states. Form ADV contains information about an investment advisor and its business operations. To view the latest filing for a particular registered investment advisor, please visit:

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