JH
Jonathan P. Horick
STRATEGIC ASSET MANAGEMENT LLC.
Minneapolis, MN 55402
Some features on this profile are disabled
CRD#: 2261282
JH
Professional summary
Jonathan Paul Horick, who also goes by Jon Horick, is a registered financial advisor currently at STRATEGIC ASSET MANAGEMENT LLC. located in Minneapolis, Minnesota.
Jonathan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Jonathan has worked at 6 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jon Horick
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) Southside Family Nurturing Center; www.snfmc.org; 01/2017; Board Member & Treasurer; Attend monthly meetings to help oversee and promote the non-profit's mission; Not Investment Related; 3 hours/month; 0 hours/month during business hours; No Compensation. 2) MBW Insurance Group; 706 2nd Avenue South, Suite 300, Minneapolis, MN 55402; 10/14/2020; CIO; Architect of investment strategy and client interfacing with wealth advisory services; Investment Related; 160 hours/month; 160 hours/month during business hours; Wages/Salary/Tips. 3) Together Capital Advisors; 706 2nd Avenue South, Suite 300, Minneapolis, MN 55402; 06/15/2021; CIO; Assessment of investment objectives, risk profile and investing as an asset allocator based years of due diligence to model portfolios; Investment Related; 160 hours/month; 160 hours/month during business hours; AUM Advisory Fees. 4) Wartburg College; 100 Wartburg Blvd., Waverly, IA 50677; Educational Institution; Investment-Related; Investment Committee Member; Act as an investment committee member to assist in the potential growth of the endowment; 5/2008; 2 hours/month; 2 hours/month during trading hours. 5) U of MN Carlson Funds Enterprise; Carlson School of Management, 321 19th Ave S, Minneapolis, MN 55455; Educational Institution; Investment-Related; Advisory Board Member; Applied Academics - assist in educating graduate students with real life applied experiences; 4/2009; 1 hour/month; 0 hours/month during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Jonathan Paul Horick'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
July 7, 2025 - Present
STRATEGIC ASSET MANAGEMENT LLC.
Office #1: 706 Second Avenue South Suite 400, Minneapolis, MN 55402RIA
CRD#: 306384
Minneapolis, MN
Past
October 30, 2020 - July 15, 2025
M HOLDINGS SECURITIES, INC.
RIA
CRD#: 43285
Minneapolis, MN
Past
August 27, 2014 - July 29, 2020
STEVENS FOSTER FINANCIAL ADVISORS
RIA
CRD#: 115752
BLOOMINGTON, MN
Past
October 2, 1998 - May 7, 1999
SIA SECURITIES CORPORATION
BD
CRD#: 35403
MINNEAPOLIS, MN
Past
October 5, 1992 - October 8, 1996
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST. PAUL, MN
Past
October 5, 1992 - August 4, 1997
CRI SECURITIES, LLC
BD
CRD#: 22589
ST. PAUL, 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".
SA
STRATEGIC ASSET MANAGEMENT LLC.
FINE WEALTH MANAGEMENT | STRATEGIC TAX & RETIREMENT | STRATEGIC INSURANCE GROUP | STRATEGIC ASSET MANAGEMENT LLC. | RIDGELINE FINANCIAL SERVICES | PLANNING WITH PURPOSE FOR REAL | MIMS FINANCIAL SERVICES
CRD#: 306384 / SEC#: 801-120401
RIA
Registered Investment Advisory firm - (2/26/2021 Approved)Iowa
Registered Investment Advisory firm - (3/1/2021 Terminated)Minnesota
Registered Investment Advisory firm - (3/11/2021 Terminated)Texas
Registered Investment Advisory firm - (6/8/2021 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(7/7/2025)
Exams
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
SA
STRATEGIC ASSET MANAGEMENT LLC.
FINE WEALTH MANAGEMENT | STRATEGIC TAX & RETIREMENT | STRATEGIC INSURANCE GROUP | STRATEGIC ASSET MANAGEMENT LLC. | RIDGELINE FINANCIAL SERVICES | PLANNING WITH PURPOSE FOR REAL | MIMS FINANCIAL SERVICES
CRD#: 306384 / SEC#: 801-120401
RIA
Registered Investment Advisory firm - (2/26/2021 Approved)Iowa
Registered Investment Advisory firm - (3/1/2021 Terminated)Minnesota
Registered Investment Advisory firm - (3/11/2021 Terminated)Texas
Registered Investment Advisory firm - (6/8/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2434 Superior Drive Nw Suite 101, Rochester, MN 55901
Mailing Address
Phone number
(888) 526-8755
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 633 |
| AUM (Assets Under Management) | $ 124,399,526 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
