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KJ

Kelly A. Johnson

SPLIT ROCK PRIVATE TRADING AND WEALTH MANAGEMENT
Cloquet, MN 55720
Some features on this profile are disabled
CRD#: 2067848
KJ

Professional summary

Kelly Ann Johnson, who also goes by Kelly A Johnson, Kelly Ann Pederson, is a registered financial advisor currently at SPLIT ROCK PRIVATE TRADING AND WEALTH MANAGEMENT LLC located in Cloquet, Minnesota.

Kelly is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Kelly has worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Kelly A Johnson | Kelly Ann Pederson

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) - RIA

Click below to view Kelly Ann Johnson's CRS (Customer Relationship Summary).
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®
None

Experience

Current

March 1, 2014 - Present

SPLIT ROCK PRIVATE TRADING AND WEALTH MANAGEMENT LLC

Office #1: 105 Arch St, Cloquet, MN 55720
RIA
CRD#: 152003
Cloquet, MN
Past

July 19, 2010 - June 18, 2013

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
DULUTH, MN
Past

April 11, 2006 - January 27, 2010

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
CLOQUET, MN
Past

October 27, 2000 - April 18, 2006

PIPER SANDLER & CO.

BD
CRD#: 665
DULUTH, MN
Past

March 2, 1998 - October 30, 2000

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

February 17, 1993 - March 2, 1998

DAIN RAUSCHER INCORPORATED

BD
CRD#: 7600

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
(3/1/2014)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/12/2014
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/19/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/20/1992
General Securities Representative Examination

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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Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A (1/21/2026)

Regulatory assets under management

Total Number of Accounts2,084
AUM (Assets Under Management)$ 356,141,386

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.

Company Information

SPLIT ROCK PRIVATE TRADING AND WEALTH MANAGEMENT LLC

CRD#: 152003Cloquet, MN 55720

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