DA
Dale A. Anich
SPLIT ROCK PRIVATE TRADING AND WEALTH MANAGEMENT
Cloquet, MN 55720
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CRD#: 1283578
DA
Professional summary
Dale Alan Anich is a registered financial advisor currently at SPLIT ROCK PRIVATE TRADING AND WEALTH MANAGEMENT LLC located in Cloquet, Minnesota.
Dale is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Dale has worked at 7 firms and has passed the Series 65, Series 63, Series 6 and Series 26 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.
CRS (Client Relationship Summary) - RIA
Click below to view Dale Alan Anich'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®
NoneExperience
Current
May 8, 2020 - Present
SPLIT ROCK PRIVATE TRADING AND WEALTH MANAGEMENT LLC
Office #1: 105 Arch St, Cloquet, MN 55720RIA
CRD#: 152003
Cloquet, MN
Past
August 26, 2008 - October 12, 2020
NORTH COMPASS FINANCIAL ADVISORS, LLC
RIA
CRD#: 146626
GRAND RAPIDS, MN
Past
June 18, 2007 - August 15, 2008
NORTH COMPASS FINANCIAL ADVISORS, INC.
RIA
CRD#: 115277
GRAND RAPIDS, MN
Past
February 21, 2006 - December 31, 2006
UNITED SECURITIES ALLIANCE, INC.
BD
CRD#: 36487
GREENWOOD VILLAGE, CO
Past
October 1, 1997 - February 24, 2006
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
HOUSTON, TX
Past
January 22, 1991 - October 1, 1997
USLIFE EQUITY SALES CORP.
BD
CRD#: 7962
NEW YORK, NY
Past
July 24, 1984 - January 21, 1991
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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".
SR
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)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(5/8/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
SR
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)PREMIUM
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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
6
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,084 |
| AUM (Assets Under Management) | $ 356,141,386 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SPLIT ROCK PRIVATE TRADING AND WEALTH MANAGEMENT LLC
CRD#: 152003Cloquet, MN 55720TRUST BUT VERIFY
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