Joan K. Rossi

ROSSI DUBUQUE BRECKENRIDGE

PLYMOUTH, MN 55441

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CRD#: 1130019

Professional summary

Joan Kneeskern Rossi, CFP®, who also goes by Joan Freda Kneeskern, is a registered financial advisor currently at ROSSI DUBUQUE BRECKENRIDGE, LLC located in Plymouth, Minnesota.

Joan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Joan has worked at 6 firms and has passed the Series 63, Series 7, Series 22, Series 6, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joan Freda Kneeskern

Other business activities

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joan Kneeskern Rossi's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1988

Experience

Current

January 11, 2013 - Present

ROSSI DUBUQUE BRECKENRIDGE, LLC

Office #1: 3033 Campus Drive Suite N147, Plymouth, MN 55441

RIA

CRD#: 155284

PLYMOUTH, MN

Past

February 16, 2011 - December 31, 2012

ROSSI DUBUQUE BRECKENRIDGE, LLC

RIA

CRD#: 155284

MINNEAPOLIS, MN

Past

December 15, 1992 - January 20, 2011

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

MINNEAPOLIS, MN

Past

March 12, 1990 - December 17, 1992

AEGIS INVESTMENTS, INC.

CRD#: 16033

ST LOUIS PARK, MN

Past

August 19, 1988 - March 14, 1990

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

July 11, 1983 - December 24, 1986

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

July 11, 1983 - August 30, 1988

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Minnesota
(12/10/2013)

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

State Security Law Exam

Series 63

Date: 7/8/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/19/1986

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 10/4/1983

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 7/8/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 7/28/2003

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 6/20/2003

General Securities Sales Supervisor - Options Module Examination

Current Firm

ROSSI DUBUQUE BRECKENRIDGE, LLC

CRD#: 155284 / SEC#:

California

Registered Investment Advisory firm - (11/24/2024 Terminated)

Minnesota

Registered Investment Advisory firm - (11/15/2010 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

3033 Campus Drive Suite N147, Plymouth, MN 55441

Mailing Address

Phone number

(612) 870-9579

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Joan K. Rossi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joan Kneeskern Rossi's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROSSI DUBUQUE BRECKENRIDGE, LLC

RAYMOND JAMES FINANCIAL SERVICES, INC.

AEGIS INVESTMENTS, INC.

CETERA WEALTH SERVICES, LLC

AMERICAN EXPRESS FINANCIAL CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/8/1983

Series 7

Date: 4/19/1986

Series 22

Date: 10/4/1983

Series 6

Date: 7/8/1983

Series 10

Date: 7/28/2003

Series 9

Date: 6/20/2003

Current Firm

ROSSI DUBUQUE BRECKENRIDGE, LLC

Contact information

Documents

Red Flags

Company Information

ROSSI DUBUQUE BRECKENRIDGE, LLC

TRUST BUT VERIFY

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