Richard J. Straub
STRATEGIC ADVISERS LLC | Vice President, Wealth Planner
OSSEO, MN
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CRD#: 2183623
Professional summary
Richard Joseph Straub, who also goes by Rick Straub, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Osseo, Minnesota and FIDELITY BROKERAGE SERVICES LLC located in Oakdale, Minnesota.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Richard has worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9, Series 10, Series 4, Series 24 and Series 8 exams.
Biography
With 15 years tenure at Fidelity and a combined 30+ years in financial services, I've developed a real passion for helping individuals, and their families navigate through specific financial needs. Together, we will co-create a plan that can focus on what is truly important to you - growing your wealth over time, generating income, preserving what you have, or leaving a legacy for future generations.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rick Straub
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.
OBA-11160|OrgNmn:self|Org Addr:Maple Grov,Minnesota,US|OBA Nature:Portrait photography as a favo|Invst Rel:N|Title:n/a|Duties:I would be hired by family and friends to shoot family, portrait, senior, wedding/engagement photos|StrtDt:10-03-18|TotHrs/mon:1|TrdHrs/mon:0|
CRS (Client Relationship Summary) - RIA
Click below to view Richard Joseph Straub'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®
NoneEducation
University of Saint Thomas
Bachelor of Arts (BA) - Marketing - Operations Management
1991
Experience
Current
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
Office #2: 8342 3rd Street N, Oakdale, MN 55128-5439RIA
CRD#: 104555
OSSEO, MN
Current
May 25, 2007 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 8342 3rd Street North, Oakdale, MN 55128BD
CRD#: 7784
Oakdale, MN
Past
July 13, 2018 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
OAKDALE, MN
Past
December 17, 2013 - July 13, 2018
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
EDINA, MN
Past
December 8, 2006 - May 3, 2007
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
Past
February 6, 2006 - December 31, 2006
TCF INVESTMENTS, INC.
BD
CRD#: 34954
MINNEAPOLIS, MN
Past
January 31, 2005 - August 31, 2005
NORTHLAND SECURITIES, INC.
BD
CRD#: 40258
MINNEAPOLIS, MN
Past
August 22, 2002 - May 12, 2004
MMC SECURITIES LLC
RIA
CRD#: 103846
MINNEAPOLIS, MN
Past
May 14, 2001 - January 25, 2005
MMC SECURITIES LLC
BD
CRD#: 103846
NEW YORK, NY
Past
October 3, 2000 - January 26, 2001
STARFN
BD
CRD#: 7192
CHICAGO, IL
Past
June 28, 2000 - June 28, 2000
MJK CLEARING, INC.
BD
CRD#: 8678
MINNEAPOLIS, MN
Past
June 28, 2000 - October 2, 2000
STOCKWALK.COM, INC.
BD
CRD#: 40692
MINNEAPOLIS, MN
Past
April 12, 2000 - August 1, 2000
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
April 12, 2000 - August 1, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
February 24, 1992 - March 8, 2000
TD AMERITRADE, INC.
BD
CRD#: 7870
OMAHA, NE
Past
October 10, 1991 - December 18, 1991
KOBER FINANCIAL CORP.
BD
CRD#: 17551
ENGLEWOOD, CO
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".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 Approved)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(1/11/2021)
RR
Arizona(1/11/2021)
RR
California(1/11/2021)
RR
Colorado(1/11/2021)
RR
Connecticut(1/11/2021)
RR
Florida(1/11/2021)
RR
Georgia(1/11/2021)
RR
Hawaii(1/11/2021)
RR
Illinois(1/11/2021)
RR
Indiana(1/11/2021)
RR
Iowa(1/11/2021)
RR
Kansas(1/11/2021)
RR
Kentucky(1/11/2021)
RR
Louisiana(1/11/2021)
RR
Michigan(5/13/2022)
RR
Minnesota(5/25/2007)
IAR
Minnesota(3/31/2025)
RR
Missouri(1/11/2021)
RR
New Hampshire(1/11/2021)
RR
New Jersey(7/12/2021)
RR
New Mexico(1/11/2021)
RR
New York(1/11/2021)
RR
North Carolina(1/11/2021)
RR
North Dakota(1/11/2021)
RR
Ohio(1/12/2021)
RR
Oregon(1/11/2021)
RR
Pennsylvania(1/11/2021)
RR
South Carolina(1/26/2022)
RR
South Dakota(1/11/2021)
RR
Tennessee(1/11/2021)
RR
Texas(7/18/2016)
IAR
Texas(3/31/2025)
RR
Utah(7/18/2016)
RR
Virginia(3/4/2022)
RR
Washington(1/11/2021)
RR
Wisconsin(1/11/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 12/1/1993
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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
STRATEGIC ADVISERS LLC
Vice President, Wealth PlannerCRD#: 104555Osseo, MNTRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
