JE
John R. Ekman
THE OAK RIDGE FINANCIAL SERVICES GROUP
Golden Valley, MN 55416-1089
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CRD#: 1632217
JE
Professional summary
John Richard Ekman is a registered financial professional currently at THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. located in Golden Valley, Minnesota.
John is registered as a RR (Registered Representative) and started their career in finance in 1987. John has worked at 10 firms and has passed the Series 63, Series 65, SIE, Series 3, Series 7, Series 9, Series 10, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
No
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) - BD
Click below to view John Richard Ekman'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
November 27, 2024 - Present
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
Office #1: 701 Xenia Avenue South Suite 100, Golden Valley, MN 55416-1089Office #2: 701 Xenia Avenue S Ste 100, Golden Valley, MN 55416RIA
BD
CRD#: 42941
Golden Valley, MN
Past
May 4, 2017 - November 16, 2022
OSAIC FA, INC.
RIA
CRD#: 3978
EDINA, MN
Past
May 4, 2017 - November 16, 2022
OSAIC FA, INC.
BD
CRD#: 3978
EDINA, MN
Past
August 24, 2010 - May 4, 2017
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
SAINT PAUL, MN
Past
August 24, 2010 - May 4, 2017
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
SAINT PAUL, MN
Past
October 5, 2009 - August 19, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
LAKE ELMO, MN
Past
April 17, 2009 - June 3, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
LAKE ELMO, MN
Past
March 13, 2009 - August 19, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
LAKE ELMO, MN
Past
October 12, 2007 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
RIA
CRD#: 5979
LAKE ELMO, MN
Past
October 12, 2007 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
LAKE ELMO, MN
Past
April 5, 2004 - October 22, 2007
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
MINNEAPOLIS, MN
Past
August 19, 2002 - October 22, 2007
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
MINNEAPOLIS, MN
Past
July 26, 2000 - August 28, 2002
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
MINNEAPOLIS, MN
Past
June 23, 2000 - August 28, 2002
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
November 29, 1991 - July 10, 2000
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
November 6, 1991 - November 29, 1991
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
Past
May 14, 1988 - November 20, 1991
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
March 25, 1987 - May 14, 1988
E. F. HUTTON & COMPANY INC
BD
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".
TO
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
EQUITY SECURITIES INVESTMENTS, INC. | THE SWANSON GROUP | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC | THE OAK RIDGE FINANCIAL SERVICES GROUP INC
CRD#: 42941 / SEC#: 801-80809, 8-50082
RIA
Registered Investment Advisory firm - SEC (1/15/2015 Approved)Florida
Registered Investment Advisory firm - SEC (5/18/2015 Terminated)Idaho
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)Illinois
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)Minnesota
Registered Investment Advisory firm - SEC (5/18/2015 Terminated)Montana
Registered Investment Advisory firm - SEC (12/31/2012 Terminated)Washington
Registered Investment Advisory firm - SEC (12/14/2009 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (3/31/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/23/2025)
RR
Alaska(1/23/2025)
RR
Arizona(12/6/2024)
RR
Arkansas(1/24/2025)
RR
California(1/23/2025)
RR
Colorado(12/2/2024)
RR
Connecticut(12/2/2024)
RR
Delaware(1/29/2025)
RR
District of Columbia(12/5/2024)
RR
Florida(12/9/2024)
RR
Georgia(1/23/2025)
RR
Hawaii(1/23/2025)
RR
Idaho(12/5/2024)
RR
Illinois(1/15/2025)
RR
Indiana(1/24/2025)
RR
Iowa(1/23/2025)
RR
Kansas(1/23/2025)
RR
Kentucky(12/10/2024)
RR
Louisiana(12/13/2024)
RR
Maine(1/24/2025)
RR
Maryland(12/4/2024)
RR
Massachusetts(1/24/2025)
RR
Michigan(1/24/2025)
RR
Minnesota(11/27/2024)
RR
Mississippi(12/2/2024)
RR
Missouri(1/23/2025)
RR
Montana(12/4/2024)
RR
Nebraska(11/27/2024)
RR
Nevada(1/23/2025)
RR
New Hampshire(1/24/2025)
RR
New Jersey(12/4/2024)
RR
New Mexico(1/23/2025)
RR
New York(1/23/2025)
RR
North Carolina(1/27/2025)
RR
North Dakota(1/27/2025)
RR
Ohio(2/3/2025)
RR
Oklahoma(12/2/2024)
RR
Oregon(1/27/2025)
RR
Pennsylvania(1/23/2025)
RR
Rhode Island(1/27/2025)
RR
South Carolina(12/3/2024)
RR
South Dakota(1/23/2025)
RR
Tennessee(1/24/2025)
RR
Texas(1/24/2025)
RR
Utah(1/23/2025)
RR
Vermont(1/23/2025)
RR
Virgin Islands(1/24/2025)
RR
Virginia(12/2/2024)
RR
Washington(1/23/2025)
RR
West Virginia(1/24/2025)
RR
Wisconsin(1/3/2025)
RR
Wyoming(1/23/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 2/27/1995
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
TO
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
EQUITY SECURITIES INVESTMENTS, INC. | THE SWANSON GROUP | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC | THE OAK RIDGE FINANCIAL SERVICES GROUP INC
CRD#: 42941 / SEC#: 801-80809, 8-50082
RIA
Registered Investment Advisory firm - SEC (1/15/2015 Approved)Florida
Registered Investment Advisory firm - SEC (5/18/2015 Terminated)Idaho
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)Illinois
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)Minnesota
Registered Investment Advisory firm - SEC (5/18/2015 Terminated)Montana
Registered Investment Advisory firm - SEC (12/31/2012 Terminated)Washington
Registered Investment Advisory firm - SEC (12/14/2009 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (3/31/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
701 Xenia Ave. South, Suite 100 Suite 100, Golden Valley, MN 55416-1089
Mailing Address
701 Xenia Ave. South, Suite 100, Golden Valley, MN 55416-1089
Phone number
(763) 923-2200
Established
Minnesota since 03/13/1997
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees
60
SEC notice filing (34 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 1,501 |
| AUM (Assets Under Management) | $ 456,416,227 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
