Raymond P. Kvalvog

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CRD#: 1325343

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.

Raymond Phillip Kvalvog, who also goes by Ray Phillip Kvalvog, was a registered financial advisor .

Raymond is a previously registered financial advisor and started their career in finance in 1984. Raymond had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ray Phillip Kvalvog

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

September 16, 2013 - October 1, 2015

COLLIERS SECURITIES LLC

RIA

CRD#: 7477

FARGO, ND

Past

September 10, 2013 - October 1, 2015

COLLIERS SECURITIES LLC

CRD#: 7477

FARGO, ND

Past

January 1, 2008 - September 10, 2013

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

FARGO, ND

Past

January 1, 2008 - September 10, 2013

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

FARGO, ND

Past

April 18, 2000 - January 1, 2008

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

FARGO, ND

Past

August 11, 1992 - January 3, 2008

A. G. EDWARDS & SONS, INC.

CRD#: 4

FARGO, ND

Past

February 2, 1990 - August 21, 1992

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Past

November 9, 1987 - February 8, 1990

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

December 19, 1984 - November 27, 1987

E. F. HUTTON & COMPANY INC

CRD#: 235

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".

COLLIERS SECURITIES LLC

CRD#: 7477 / SEC#: 801-80233, 8-21937

RIA

Registered Investment Advisory firm - SEC (9/25/2014 Approved)

Arizona

Registered Investment Advisory firm - SEC (10/3/2014 Terminated)

California

Registered Investment Advisory firm - SEC (10/20/2014 Terminated)

Florida

Registered Investment Advisory firm - SEC (10/3/2014 Terminated)

Iowa

Registered Investment Advisory firm - SEC (10/6/2014 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (10/13/2014 Terminated)

North Dakota

Registered Investment Advisory firm - SEC (10/3/2014 Terminated)

South Dakota

Registered Investment Advisory firm - SEC (10/3/2014 Terminated)

Texas

Registered Investment Advisory firm - SEC (10/3/2014 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (10/6/2014 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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

IAR

Series 66

Date: 4/4/2000

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/18/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 1/25/1985

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 12/15/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 4/23/2002

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 3/14/2001

General Securities Sales Supervisor - Options Module Examination

Current Firm

COLLIERS SECURITIES LLC

CRD#: 7477 / SEC#: 801-80233, 8-21937

RIA

Registered Investment Advisory firm - SEC (9/25/2014 Approved)

Arizona

Registered Investment Advisory firm - SEC (10/3/2014 Terminated)

California

Registered Investment Advisory firm - SEC (10/20/2014 Terminated)

Florida

Registered Investment Advisory firm - SEC (10/3/2014 Terminated)

Iowa

Registered Investment Advisory firm - SEC (10/6/2014 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (10/13/2014 Terminated)

North Dakota

Registered Investment Advisory firm - SEC (10/3/2014 Terminated)

South Dakota

Registered Investment Advisory firm - SEC (10/3/2014 Terminated)

Texas

Registered Investment Advisory firm - SEC (10/3/2014 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (10/6/2014 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

90 South Seventh Street Suite 4300, Minneapolis, MN 55402-4108

Mailing Address

90 South Seventh Street Suite 4300, Minneapolis, MN 55402-4108

Phone number

(612) 376-4000

Established

Delaware since 08/19/1997

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

120

SEC notice filing (15 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

COLLIERS SECURITIES LLC DISCLOSURE BROCHURE (3/26/2025)

Direct owners and executive officers

Name	Position	CRD#
COLLIERS MORTGAGE HOLDINGS LLC	DIRECT OWNER
HABLE, DEBORAH MARIE	OPERATIONS MANAGER	1596570
HINIKER, JAMES JOHN III	SVP	2148843
JACOBSON, JEFFREY DUANE	EVP, CHIEF OPERATING OFFICER & BOARD MEMBER	1976541
JOHNSON, MARK KENNETH	VP, BRANCH MANAGER, CHIEF SUPERVISION OFFICER	1433801
JURAN, DAVID BRAMLEY	CHAIRMAN OF THE BOARD	2166483
MULLEN, DAVID THOMAS	EVP, BOARD MEMBER	1273590
NORRIS, ROGER ALLAN	SVP, REGISTERED OPTIONS PRINCIPAL	2201413
STEICHEN, THOMAS FRANCIS	EVP, CCO & GENERAL COUNSEL, BOARD MEMBER	6920110
THEIS, CRAIG DANIEL	SVP, BOARD MEMBER	4365341
VAN HANDEL, REBECCA	CHIEF FINANCIAL OFFICER & FINOP	7558187

Regulatory assets under management

Total Number of Accounts	1,016
AUM (Assets Under Management)	$ 280,660,825

Disclosures

Regulatory Event	25
Arbitration	10

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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Firm Stability Insights

Raymond P. Kvalvog

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

COLLIERS SECURITIES LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

PIPER SANDLER & CO.

A. G. EDWARDS & SONS, INC.

E. F. HUTTON & COMPANY INC

Primary Firm SEC Registration

COLLIERS SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/4/2000

Series 63

Date: 12/18/1984

SIE

Date: 10/1/2015

Series 3

Date: 1/25/1985

Series 7

Date: 12/15/1984

Series 10

Date: 4/23/2002

Series 9

Date: 3/14/2001

Current Firm

COLLIERS SECURITIES LLC

Contact information

SEC notice filing (15 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

COLLIERS SECURITIES LLC

TRUST BUT VERIFY

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