Paul M. Munson

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CRD#: 1280497

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Paul Martin Munson was a registered financial professional .

Paul is a previously registered financial professional and started their career in finance in 1984. Paul had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 12, 2022 - August 19, 2025

SPLIT ROCK PRIVATE TRADING AND WEALTH MANAGEMENT LLC

RIA

CRD#: 152003

CLOQUET, MN

Past

February 5, 2014 - December 22, 2021

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

Cloquet, MN

Past

September 29, 2003 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

June 28, 1984 - December 24, 1986

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

June 28, 1984 - December 22, 2021

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Cloquet, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SPLIT ROCK PRIVATE TRADING AND WEALTH MANAGEMENT LLC

SPLIT ROCK PRIVATE TRADING AND WEALTH MANAGEMENT | SPLIT ROCK PRIVATE TRADING AND WEALTH MANAGEMENT LLC

CRD#: 152003 / SEC#: 801-119587

RIA

Registered Investment Advisory firm - (10/9/2020 Approved)

Florida

Registered Investment Advisory firm - (10/12/2020 Terminated)

Louisiana

Registered Investment Advisory firm - (12/31/2016 Terminated)

Minnesota

Registered Investment Advisory firm - (10/14/2020 Terminated)

North Dakota

Registered Investment Advisory firm - (11/19/2015 Terminated)

Texas

Registered Investment Advisory firm - (10/12/2020 Terminated)

Wisconsin

Registered Investment Advisory firm - (10/12/2020 Terminated)

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).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 6/26/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/21/1985

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/27/1984

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SPLIT ROCK PRIVATE TRADING AND WEALTH MANAGEMENT LLC

SPLIT ROCK PRIVATE TRADING AND WEALTH MANAGEMENT | SPLIT ROCK PRIVATE TRADING AND WEALTH MANAGEMENT LLC

CRD#: 152003 / SEC#: 801-119587

RIA

Registered Investment Advisory firm - (10/9/2020 Approved)

Florida

Registered Investment Advisory firm - (10/12/2020 Terminated)

Louisiana

Registered Investment Advisory firm - (12/31/2016 Terminated)

Minnesota

Registered Investment Advisory firm - (10/14/2020 Terminated)

North Dakota

Registered Investment Advisory firm - (11/19/2015 Terminated)

Texas

Registered Investment Advisory firm - (10/12/2020 Terminated)

Wisconsin

Registered Investment Advisory firm - (10/12/2020 Terminated)

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Contact information

Main Address

105 Arch St, Cloquet, MN 55720

Mailing Address

Phone number

(218) 879-3262

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (2/19/2025)

Regulatory assets under management

Total Number of Accounts	1,898
AUM (Assets Under Management)	$ 308,706,394

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.

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Advisor Monitoring

Firm Stability Insights

Paul M. Munson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERICAN EXPRESS FINANCIAL CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

SPLIT ROCK PRIVATE TRADING AND WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/26/1984

SIE

Date: 10/1/2018

Series 7

Date: 12/21/1985

Series 6

Date: 6/27/1984

Current Firm

SPLIT ROCK PRIVATE TRADING AND WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SPLIT ROCK PRIVATE TRADING AND WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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