CV
Connie A. Van Ornum
EVEREST FINANCIAL GROUP
Minneapolis, MN 55416-1029
Some features on this profile are disabled
CRD#: 2133180
CV
Professional summary
Connie Ann Van Ornum, who also goes by Connie Ann Cureton, Connie Ann Hermeling, Connie Hermeling, Connie Ann Vanornum, is a registered financial advisor currently at EVEREST FINANCIAL GROUP located in Minneapolis, Minnesota and OSAIC WEALTH, INC. located in Tucson, Arizona.
Connie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Connie has worked at 13 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Connie Ann Cureton | Connie Ann Hermeling | Connie Hermeling | Connie Ann Vanornum
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.
EVEREST FINANCIAL GROUP, LLC -IAR -DBA -IAR INVEST RELATED Yes #HRS null SEC TRADE HRS null -12/1/14 -5814 S Clonmellon Ave, Tucson AZ 85747 -I am Investment Advisor Representative (IAR) with Everest Financial Group, LLC as the Registered Investment Adviser(RIA) Firm. I provide managed money services for a fee for my clients using Schwab Institutional as our platform. I invest my clients' money into Institutional mutual funds and ETF's predominantly. INSURANCE -insurance agent INVEST RELATED No #HRS 1 SEC TRADE HRS 1 -2/1/12 -5814 S Clonmellon Ave, Tucson AZ 85747 -When a client needs coverage for a risk need, i.e. premature death to cover income needs for his/her family, or LTC needs, then I will present the necessary insurance to provide coverage for that risk. TRUST/EXECUTOR SERVICES -Nothing at the moment, until my parents die. NATURE: I am now the successor Co-Trustee along with my stepsister and our parents for their Family Trust. This change from successor Trustee to successor Co-Trustee was made as a First Amendment to the Fourth Restatement of The Ronald C. and Jacqueline B. Almgren Family Trust because Bank of America, my parents' bank for paying their bills, would not allow my stepsister or myself to be added as a signer to their bank account in the event they became incompetent prior to death. Bank of America would not acknowledge the POA's my parents' lawyer had drawn up for the purpose of helping with their banking in the event of them needing help, so their lawyer drew up this First Amendment in order to satisfy Bank of America which allows myself and my stepsister to be able to help our parents in the event they need help paying their bills. INVEST RELATED Yes #HRS 0 SEC TRADE HRS 0 -11/1/09 -5814 S Clonmellon Ave, Tucson AZ 85747 -As successor Co-Trustee along with my stepsister and both of my parents, I will have the ability to only act along with one, or both of my parents, and always jointly with my stepsister, effective immediately any Co-Trustee duties necessary. This change from Successor Trustee to Successor Co-Trustee was made in order to allow my stepsister and me to be added as signers to our parents' checking account in order to pay their bills while they are still living, if they need the help. Their bank, Bank of America, would not accept the POA's drawn up for that reason, so my parents' lawyer has added this First Amendment to their Trust in order for my stepsister and me to be able to act jointly, and only jointly, in order to help our parents prior to their death if that is needed. MEDICARE HEALTH BENEFITS -Insurance agent -Medicare Supplemental Insurance and Medicare Parts C & D INVEST RELATED No #HRS 2 SEC TRADE HRS 0 -10/1/12 -4550 E Bell Rd Ste 136, Phoenix AZ 85032 -When a client or referral needs Medicare Insurance, I provide them this benefit if possible. Any policies that I write flow through Western Asset Protection, the General Agency that my Medicare Insurance contracts clear through, and they provide me any 1099 income from the Medicare Insurance companies that I write. This OBA is a great opportunity to let people know that I am also a financial advisor and can help them with any other insurance or investment needs if they would like my help. A separate appointment will then be made for any further discussion about any additional financial help other than Medicare Insurance. No financial or insurance products will be mentioned to this client during a Medicare insurance appointment, only to let them know that I am available for other insurance or financial needs if they have any.
CRS (Client Relationship Summary) - RIA
Click below to view Connie Ann Van Ornum'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 3, 2014 - Present
EVEREST FINANCIAL GROUP
Office #1: 701 Xenia Ave S Suite 250, Minneapolis, MN 55416-1029RIA
CRD#: 137260
Minneapolis, MN
Current
June 14, 2024 - Present
OSAIC WEALTH, INC.
RIA
BD
CRD#: 23131
TUCSON, AZ
Past
November 28, 2014 - June 14, 2024
SECURITIES AMERICA, INC.
BD
CRD#: 10205
TUCSON, AZ
Past
July 10, 2014 - December 1, 2014
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
Tucson, AZ
Past
June 24, 2014 - December 1, 2014
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
Tucson, AZ
Past
June 9, 2014 - June 25, 2014
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
TUCSON, AZ
Past
May 1, 2013 - December 31, 2013
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
TUCSON, AZ
Past
March 4, 2013 - June 25, 2014
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
TUCSON, AZ
Past
July 18, 2012 - February 25, 2013
LEGEND ADVISORY, LLC
RIA
CRD#: 104761
TUCSON, AZ
Past
July 16, 2012 - February 25, 2013
LEGEND EQUITIES CORPORATION
BD
CRD#: 30999
TUCSON, AZ
Past
November 29, 1999 - July 18, 2012
OSAIC WEALTH, INC.
BD
CRD#: 23131
TUCSON, AZ
Past
May 5, 1999 - November 29, 1999
FINTEGRA, LLC
BD
CRD#: 16741
MINNEAPOLIS, MN
Past
February 7, 1996 - May 5, 1999
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
ST. CLOUD, MN
Past
October 13, 1993 - October 12, 1995
WELLS FARGO BROKERAGE SERVICES, L.L.C.
BD
CRD#: 16100
MINNEAPOLIS, MN
Past
September 29, 1992 - October 13, 1993
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
April 24, 1991 - October 1, 1992
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
April 24, 1991 - October 1, 1992
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
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".
EF
EVEREST FINANCIAL GROUP
EVEREST FINANCIAL GROUP | SINCERE FINANCIAL LTD | EVEREST FINANCIAL GROUP LLC
CRD#: 137260 / SEC#: 801-67635
RIA
Registered Investment Advisory firm - (3/30/2007 Approved)California
Registered Investment Advisory firm - (5/8/2007 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
IAR
Arizona(12/22/2014)
RR
Arizona(6/14/2024)
RR
Florida(6/14/2024)
IAR
Minnesota(12/3/2014)
RR
Minnesota(6/14/2024)
RR
New Mexico(6/14/2024)
RR
Texas(6/14/2024)
RR
Wisconsin(6/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
EF
EVEREST FINANCIAL GROUP
EVEREST FINANCIAL GROUP | SINCERE FINANCIAL LTD | EVEREST FINANCIAL GROUP LLC
CRD#: 137260 / SEC#: 801-67635
RIA
Registered Investment Advisory firm - (3/30/2007 Approved)California
Registered Investment Advisory firm - (5/8/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
701 Xenia Ave S Suite 250, Minneapolis, MN 55416-1029
Mailing Address
Phone number
(763) 923-7525
Established
Firm type
Fiscal year end
# of Employees
12
SEC notice filing (19 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,667 |
| AUM (Assets Under Management) | $ 912,366,781 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
