Tracey M. Simonson
FOCUS FINANCIAL
North Branch, MN 55056
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CRD#: 1849487
Professional summary
Tracey Marie Simonson, CFP® is a registered financial advisor currently at FOCUS FINANCIAL located in North Branch, Minnesota and OSAIC WEALTH, INC. located in North Branch, Minnesota.
Tracey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Tracey has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 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.
1) FOCUS FINANCIAL - THE SIMONSON GROUP POSITION: Investment Adviser Representative NATURE: Registered Investment Advisor INVESTMENT RELATED: Yes NUMBER OF HOURS: 217 SECURITIES TRADING HOURS: 173 START DATE: 04/24/2009 ADDRESS: 38877 10th Avenue, Suite B, PO Box 549, North Branch MN 55056, United States DESCRIPTION: Fee based comprehensive financial planning, goal setting, budgeting, asset allocation, portfolio monitoring, insurance review, estate review/planning, annual client reviews 2) CAMERON FINANCIAL CORPORATION POSITION: President NATURE: "S" Corporation for business bookkeeping (including payroll) and taxes only. INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 4 START DATE: 12/13/1999 ADDRESS: 22905 W Martin Lake Drive NE, Stacy MN 55079, United States DESCRIPTION: *Vision and Budgeting*Pay Business Bills (Cameron Financial is billed.Cameron Financial banking accounts exist.)*Set staff salaries/benefits. Provide payroll information to CPA.*Provide all recordkeeping information to the CPA on quarterly basis. Additional information at year-end. 3) FOCUS FINANCIAL POSITION: Insurance Agent NATURE: Insurance Agency INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 04/24/2009 ADDRESS: 38877 10th Avenue, Suite B, PO Box 549, North Branch MN 55056, United States DESCRIPTION: Sale and service of fixed insurance products
CRS (Client Relationship Summary) - RIA
Click below to view Tracey Marie Simonson'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®
CFP®
Start date: 2007
Experience
Current
May 4, 2009 - Present
FOCUS FINANCIAL
Office #1: 38877 10th Ave Suite B, North Branch, MN 55056RIA
CRD#: 116140
North Branch, MN
Current
April 24, 2009 - Present
OSAIC WEALTH, INC.
Office #1: 38877 10th Avenue Suite B, North Branch, MN 55056RIA
BD
CRD#: 23131
North Branch, MN
Past
August 7, 1997 - May 8, 2009
INVESTMENT CENTERS OF AMERICA, INC.
RIA
CRD#: 16443
NORTH BRANCH, MN
Past
May 6, 1997 - May 8, 2009
INVESTMENT CENTERS OF AMERICA, INC.
BD
CRD#: 16443
NORTH BRANCH, MN
Past
May 13, 1992 - May 5, 1997
DAIN RAUSCHER INCORPORATED
BD
CRD#: 7600
Past
August 16, 1989 - December 12, 1990
OAKWOOD CAPITAL SECURITIES, INC.
BD
CRD#: 21000
ST. LOUIS PARK, MN
Past
July 19, 1988 - August 23, 1989
MARQUETTE FINANCIAL GROUP, INC.
BD
CRD#: 345
MINNEAPOLIS, 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".
FOCUS FINANCIAL
AFC FINANCIAL ADVISORY GROUP | MOSER & HEIER FINANCIAL SOLUTIONS | MERTZ WEALTH STRATEGIES | KMF ADVISORS | FOCUS FINANCIAL NETWORK, INC. | FOCUS FINANCIAL | FDI INCORPORATED/FINANCIAL DESIGNS | BROOKLANDS
CRD#: 116140 / SEC#: 801-71117
RIA
Registered Investment Advisory firm - (3/2/2010 Approved)Arizona
Registered Investment Advisory firm - (3/5/2010 Terminated)California
Registered Investment Advisory firm - (3/8/2010 Terminated)Colorado
Registered Investment Advisory firm - (3/12/2010 Terminated)Florida
Registered Investment Advisory firm - (3/5/2010 Terminated)Georgia
Registered Investment Advisory firm - (3/5/2010 Terminated)Illinois
Registered Investment Advisory firm - (3/2/2010 Terminated)Indiana
Registered Investment Advisory firm - (3/9/2010 Terminated)Iowa
Registered Investment Advisory firm - (3/5/2010 Terminated)Massachusetts
Registered Investment Advisory firm - (3/24/2010 Terminated)Minnesota
Registered Investment Advisory firm - (3/8/2010 Terminated)Missouri
Registered Investment Advisory firm - (3/5/2010 Terminated)Nebraska
Registered Investment Advisory firm - (3/12/2010 Terminated)New Jersey
Registered Investment Advisory firm - (3/5/2010 Terminated)New York
Registered Investment Advisory firm - (3/5/2010 Terminated)North Carolina
Registered Investment Advisory firm - (3/5/2010 Terminated)North Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)Ohio
Registered Investment Advisory firm - (3/5/2010 Terminated)Oregon
Registered Investment Advisory firm - (3/5/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (3/31/2010 Terminated)South Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)Texas
Registered Investment Advisory firm - (3/5/2010 Terminated)Washington
Registered Investment Advisory firm - (3/5/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (3/5/2010 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.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(10/22/2024)
RR
Arizona(4/24/2009)
RR
Colorado(1/31/2023)
RR
Florida(2/20/2024)
RR
Georgia(11/12/2015)
RR
Idaho(6/28/2018)
RR
Kentucky(3/16/2021)
RR
Minnesota(4/24/2009)
IAR
Minnesota(12/17/2013)
RR
Missouri(5/6/2010)
RR
Montana(4/17/2023)
RR
Nebraska(5/2/2013)
RR
New Jersey(4/30/2019)
RR
North Carolina(2/8/2024)
RR
North Dakota(6/21/2024)
RR
South Dakota(6/21/2012)
RR
Tennessee(1/12/2024)
RR
Texas(1/8/2018)
IAR
Texas(3/13/2018)
RR
Washington(7/20/2016)
RR
Wisconsin(4/24/2009)
RR
Wyoming(4/29/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FOCUS FINANCIAL
AFC FINANCIAL ADVISORY GROUP | MOSER & HEIER FINANCIAL SOLUTIONS | MERTZ WEALTH STRATEGIES | KMF ADVISORS | FOCUS FINANCIAL NETWORK, INC. | FOCUS FINANCIAL | FDI INCORPORATED/FINANCIAL DESIGNS | BROOKLANDS
CRD#: 116140 / SEC#: 801-71117
RIA
Registered Investment Advisory firm - (3/2/2010 Approved)Arizona
Registered Investment Advisory firm - (3/5/2010 Terminated)California
Registered Investment Advisory firm - (3/8/2010 Terminated)Colorado
Registered Investment Advisory firm - (3/12/2010 Terminated)Florida
Registered Investment Advisory firm - (3/5/2010 Terminated)Georgia
Registered Investment Advisory firm - (3/5/2010 Terminated)Illinois
Registered Investment Advisory firm - (3/2/2010 Terminated)Indiana
Registered Investment Advisory firm - (3/9/2010 Terminated)Iowa
Registered Investment Advisory firm - (3/5/2010 Terminated)Massachusetts
Registered Investment Advisory firm - (3/24/2010 Terminated)Minnesota
Registered Investment Advisory firm - (3/8/2010 Terminated)Missouri
Registered Investment Advisory firm - (3/5/2010 Terminated)Nebraska
Registered Investment Advisory firm - (3/12/2010 Terminated)New Jersey
Registered Investment Advisory firm - (3/5/2010 Terminated)New York
Registered Investment Advisory firm - (3/5/2010 Terminated)North Carolina
Registered Investment Advisory firm - (3/5/2010 Terminated)North Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)Ohio
Registered Investment Advisory firm - (3/5/2010 Terminated)Oregon
Registered Investment Advisory firm - (3/5/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (3/31/2010 Terminated)South Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)Texas
Registered Investment Advisory firm - (3/5/2010 Terminated)Washington
Registered Investment Advisory firm - (3/5/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (3/5/2010 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1300 Godward Street Ne Suite 5500, Minneapolis, MN 55413
Mailing Address
Phone number
(651) 631-8166
Established
Firm type
Fiscal year end
# of Employees
172
SEC notice filing (46 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 26,057 |
| AUM (Assets Under Management) | $ 6,262,663,508 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/16/2025 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
FOCUS FINANCIAL
CRD#: 116140North Branch, MN 55056TRUST BUT VERIFY
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