Richard Duane Thoreson
Professional Summary
Richard Duane Thoreson is a registered financial advisor currently at THORESON STEFFES located in Fargo, North Dakota. Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Richard has worked at 1 firm.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
14 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
T&S INVESTMENTS | THORESON STEFFES | T&S INVESTMENTS, LLC
Contact Information
Main Address
210 N. Broadway Suite 400, Fargo, ND 58102-4771Phone Number
(701) 478-3338# of Employees
2Documents
Regulatory Assets Under Management
Total Number of Accounts
31AUM (Assets Under Management)
$49,253,138Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| South Dakota | ERA - Withdrawn | 2/27/2020 |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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State Registrations and Notice Filings
(8/3/2012)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view Richard Duane Thoreson's CRS (Customer Relationship Summary).
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