Bert L. Finsand

FINSAND INVESTMENT ADVISORS

EDINA, MN

Some features on this profile are disabled

CRD#: 1243187

Professional summary

Bert Louis Finsand is a registered financial advisor currently at FINSAND INVESTMENT ADVISORS, LLC located in Edina, Minnesota.

Bert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Bert has worked at 6 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Bert Louis Finsand'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®

None

Experience

Current

December 11, 2000 - Present

FINSAND INVESTMENT ADVISORS, LLC

RIA

CRD#: 113790

EDINA, MN

Past

August 27, 1999 - December 31, 2000

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

April 8, 1994 - September 3, 1999

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

July 31, 1993 - April 18, 1994

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

October 11, 1988 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

July 26, 1984 - October 18, 1988

PRUCO SECURITIES, LLC.

CRD#: 5685

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
(2/11/2016)

IAR

Wisconsin
(12/11/2000)

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

IAR

Series 65

Date: 5/5/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/14/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 10/24/1988

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/21/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/16/1999

General Securities Principal Examination

Current Firm

FINSAND INVESTMENT ADVISORS, LLC

CRD#: 113790 / SEC#:

Minnesota

Registered Investment Advisory firm - (10/26/2000 Approved)

Wisconsin

Registered Investment Advisory firm - (12/11/2000 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Edina, MN

Mailing Address

Phone number

(612) 790-2947

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	16
AUM (Assets Under Management)	$ 379,988

Red Flags

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Bert L. Finsand

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bert Louis Finsand's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

UBS FINANCIAL SERVICES INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/5/1992

Series 63

Date: 5/14/1984

Series 3

Date: 10/24/1988

Series 7

Date: 7/21/1984

Series 24

Date: 12/16/1999

Current Firm

FINSAND INVESTMENT ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FINSAND INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors