AC
Anthony A. Cardinal
WEALTHSPIRE RETIREMENT ADVISORY
Plymouth, MN 55441
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CRD#: 1907461
AC
Professional summary
Anthony Allen Cardinal, who also goes by Tony Cardinal, is a registered financial advisor currently at WEALTHSPIRE RETIREMENT ADVISORY located in Plymouth, Minnesota and KESTRA INVESTMENT SERVICES, LLC located in Plymouth, Minnesota.
Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Anthony has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tony Cardinal
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.
Name: NFP RETIREMENT, INC. POSITION: Investment Advisor Representative NATURE: Investment advisory services through an independent outside RIA INVESTMENT RELATED: Yes # OF HOURS: 200 SECURITIES TRADING HOURS: 200 START DATE: 12/15/2016 ADDRESS: 120 Vantis, Suite 400, Aliso Viejo CA 92656 DESCRIPTION: I act as a Retirment consultant for qualified and non-qualified retirement plan. This includes financial investment Reviews, fee benchmarking, plan design benchmarking and participant education. Name: KNW INC. POSITION: Managing Director NATURE: Insurance INVESTMENT RELATED: No # OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 12/01/2023 ADDRESS: 505 Hwy 169, Suite 1100, Plymouth MN 55441 DESCRIPTION: Part of the management team. KNW provides the same services as NFP, Inc.. Insurance and employee benefits. Name: ACCRA PERSONAL CARE POSITION: Personal Care Assistant NATURE: Personal Care Assistant INVESTMENT RELATED: No # OF HOURS: 50 SECURITIES TRADING HOURS: 10 START DATE: 10/01/2025 ADDRESS: 12600 Whitewater Dr, Suite 100, Minnetonka MN 55343, United States DESCRIPTION: Assist with activities of daily living. These services are provided in our home to our adult daughter with developmental disabilities.
CRS (Client Relationship Summary) - RIA
Click below to view Anthony Allen Cardinal'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
December 15, 2016 - Present
WEALTHSPIRE RETIREMENT ADVISORY
Office #1: 505 Waterford Park, Highway 169 Suite 1100, Plymouth, MN 55441RIA
CRD#: 121254
Plymouth, MN
Current
January 2, 1998 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 505 Hwy 169 N, Suite 1100, Plymouth, MN 55441BD
CRD#: 42046
Plymouth, MN
Past
December 23, 1994 - January 8, 1998
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
Past
December 21, 1988 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
December 21, 1988 - December 22, 1994
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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".
WR
WEALTHSPIRE RETIREMENT ADVISORY
401 (K) ADVISORS | WEALTHSPIRE RETIREMENT, LLC | WEALTHSPIRE RETIREMENT ADVISORY | SST BENEFITS AND CONSULTING SERVICES LLC | NFP RETIREMENT INC. | NFP RETIREMENT | FIDUCIARYPATH | FIDUCIARY FIRST, LLC | ACCELERATE RETIREMENT | 403(B) ADVISORS | 401(K) INVESTMENT ADVISORS, INC. | 401(K) ADVISORS, INC. | 401(K) ADVISORS INC. | 401 (K) ADVISORS, INC.
CRD#: 121254 / SEC#: 801-66107
RIA
Registered Investment Advisory firm - (1/31/2006 Approved)California
Registered Investment Advisory firm - (2/9/2006 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
Arizona(7/12/2010)
RR
California(11/1/2004)
RR
Colorado(10/12/2007)
IAR
Illinois(11/10/2025)
IAR
Michigan(10/30/2025)
RR
Minnesota(1/2/1998)
IAR
Minnesota(12/15/2016)
RR
North Dakota(8/31/1999)
RR
Wisconsin(1/2/1998)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
WR
WEALTHSPIRE RETIREMENT ADVISORY
401 (K) ADVISORS | WEALTHSPIRE RETIREMENT, LLC | WEALTHSPIRE RETIREMENT ADVISORY | SST BENEFITS AND CONSULTING SERVICES LLC | NFP RETIREMENT INC. | NFP RETIREMENT | FIDUCIARYPATH | FIDUCIARY FIRST, LLC | ACCELERATE RETIREMENT | 403(B) ADVISORS | 401(K) INVESTMENT ADVISORS, INC. | 401(K) ADVISORS, INC. | 401(K) ADVISORS INC. | 401 (K) ADVISORS, INC.
CRD#: 121254 / SEC#: 801-66107
RIA
Registered Investment Advisory firm - (1/31/2006 Approved)California
Registered Investment Advisory firm - (2/9/2006 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
120 Vantis Suite 400, Aliso Viejo, CA 92656
Mailing Address
Phone number
(949) 460-9898
Established
Firm type
Fiscal year end
# of Employees
240
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 9,394 |
| AUM (Assets Under Management) | $ 118,031,461,765 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
