Misty D. Caber

LOCORR DISTRIBUTORS

Excelsior, MN 55331

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CRD#: 2276078

Professional summary

Misty Dawn Caber, who also goes by Misty Dawn Caber, Misty Dawn Caber-blazick, Misty Caber, is a registered financial professional currently at LOCORR DISTRIBUTORS, LLC located in Excelsior, Minnesota.

Misty is registered as a RR (Registered Representative) and started their career in finance in 1997. Misty has worked at 5 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Misty Dawn Caber | Misty Dawn Caber-Blazick | Misty Caber

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) - BD

Click below to view Misty Dawn Caber'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®

None

Experience

Current

January 9, 2024 - Present

LOCORR DISTRIBUTORS, LLC

Office #1: 687 Excelsior Blvd, Excelsior, MN 55331

CRD#: 41782

Excelsior, MN

Past

March 15, 2022 - November 17, 2023

FISHER INVESTMENTS

RIA

CRD#: 107342

TAMPA, FL

Past

February 17, 2020 - March 3, 2022

EDWARD JONES

RIA

CRD#: 250

Wesley Chapel, FL

Past

December 16, 2019 - March 3, 2022

EDWARD JONES

CRD#: 250

Wesley Chapel, FL

Past

April 15, 2019 - July 24, 2019

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Past

January 12, 2006 - April 17, 2019

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

ST. PETERSBURG, FL

Past

August 3, 2004 - January 4, 2006

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

November 4, 1997 - April 22, 2004

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

SAN MATEO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Florida
(1/9/2024)

Minnesota
(1/9/2024)

Exams

State Security Law Exam

IAR

Series 65

Date: 10/31/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/1/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 3/3/2024

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/12/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/3/1997

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

LOCORR DISTRIBUTORS, LLC

LOCORR DISTRIBUTORS, LLC | STRATEGIC TRADING, INC. | OCTAVUS LLC

CRD#: 41782 / SEC#: , 8-49568

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

687 Excelsior Blvd, Excelsior, MN 55331

Mailing Address

687 Excelsior Blvd, Excelsior, MN 55331

Phone number

(952) 767-6900

Established

Minnesota since 02/07/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (13 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
OCTAVUS GROUP LLC	OWNER
KINZIE, KEVIN MICHAEL	CEO	4384324
ESSEN, JON CHADWICK	PRINCIPAL, CFO, FINOP	2469593
HULL, BRIAN FRANCIS	CCO	2685889

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.

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Advisor Monitoring

Firm Stability Insights

Misty D. Caber

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Misty Dawn Caber's CRS (Customer Relationship Summary).

Certified licenses

Experience

FISHER INVESTMENTS

EDWARD JONES

EDWARD JONES

EDWARD JONES

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

WELLS FARGO CLEARING SERVICES, LLC

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/31/2019

Series 63

Date: 6/1/2001

Series 6TO

Date: 3/3/2024

SIE

Date: 10/1/2018

Series 7

Date: 8/12/2013

Series 6

Date: 11/3/1997

FINRA

Current Firm

LOCORR DISTRIBUTORS, LLC

Contact information

FINRA licenses (13 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

LOCORR DISTRIBUTORS, LLC

TRUST BUT VERIFY

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