KJ
Kelly A. Johnson
SPLIT ROCK PRIVATE TRADING AND WEALTH MANAGEMENT LLC
Cloquet, MN 55720
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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.
(1)CLOQUET PLANNING & ZONING COMMISSION - CLOQUET, MN, COMMISSIONER, DEVOTE APPROX 5 HRS PER MONTH, NONE DURING BSNS HRS. (2)CLOQUET MEMORIAL HOSPITAL - CLOQUET, MN, FOLLOW AGENDA & VOTE ON ANY ISSUES THAT ARISE PERTINENT TO THE HOSPITAL FROM ALL DEPARTMENTS & DOCTORS, DEVOTE APPROX 5 HRS PER MONTH, NONE DURING BSNS HRS. (3)CLOQUET COMMUNITY MEMORIAL HOSPITAL; IS THE BUSINESS INVESTMENT RELATED: NO; LOCATION OF THE BUSINESS: 512 SKYLINE BLVD CLOQUET MN 55720 USA; DESCRIPTION OF THE BUSINESS: LOCAL FOR-PROFIT HOSPITAL.; POSITION TITLE: BOARD MEMBER; RESPONSIBILITIES DUTIES: KELLY SERVES ON THE BOARD OF DIRECTORS FOR OUR LOCAL HOSPITAL AND ATTENDS MONTHLY MEETINGS TO GO OVER BUDGETS, FINANCIALS AND UPDATES ON THE FUTURE OF THE HOSPITAL.; START DATE WITH BUSINESS: 2023-01-16; HOURS PER MONTH DEVOTED TO BUSINESS DURING TRADING HOURS: 0; HOURS PER MONTH DEVOTED TO BUSINESS OUTSIDE TRADING HOURS: 5; PERCENTAGE OF TOTAL YEARLY COMPENSATION EXPECTED TO BE DERIVED FROM THE BUSINESS: 0; WILL AN IRS FORM FOR INCOME EARNED BE RECEIVED: NO; CONTACT PERSON AT THE ORGANIZATION: RICK BREUER, CEO; WEBSITE ADDRESS FOR THE ORGANIZATION: HTTPS://CLOQUETHOSPITAL.COM/;
CRS (Client Relationship Summary) - RIA
Click below to view Kelly Ann Johnson'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
March 1, 2014 - Present
SPLIT ROCK PRIVATE TRADING AND WEALTH MANAGEMENT LLC
Office #1: 105 Arch St, Cloquet, MN 55720RIA
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
State Security Law Exam
General Industry/Product Exam
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)Upgrade to AdvisorCheck Premium
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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)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,898 |
| AUM (Assets Under Management) | $ 308,706,394 |
Red Flags
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