BG
Brian W. Grogan
PACKERLAND BROKERAGE SERVICES
MINNETONKA , MN
Some features on this profile are disabled
CRD#: 2310318
BG
Professional summary
Brian William Grogan, ChFC®, CLU® is a registered financial advisor currently at PACKERLAND BROKERAGE SERVICES, INC. located in Minnetonka , Minnesota.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Brian has worked at 17 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Optimum Financial Group, LLC; Investment-Related; 14409 Woodhill Ter., Minnetonka, MN 55345; Financial Planning; Owner
CRS (Client Relationship Summary) - RIA
Click below to view Brian William Grogan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brian William Grogan'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®
Experience
Current
January 2, 2025 - Present
PACKERLAND BROKERAGE SERVICES, INC.
RIA
BD
CRD#: 37031
MINNETONKA , MN
Current
January 3, 2025 - Present
PACKERLAND BROKERAGE SERVICES, INC.
RIA
BD
CRD#: 37031
MINNETONKA , MN
Past
August 21, 2017 - November 21, 2024
WESTERN INTERNATIONAL SECURITIES, INC.
RIA
CRD#: 39262
Minnetonka, MN
Past
August 21, 2017 - November 21, 2024
WESTERN INTERNATIONAL SECURITIES, INC.
BD
CRD#: 39262
Minnetonka, MN
Past
January 3, 2017 - August 21, 2017
FINANCIAL WEST GROUP
RIA
CRD#: 16668
MINNETONKA, MN
Past
October 15, 2014 - December 31, 2015
FINANCIAL WEST GROUP
RIA
CRD#: 16668
MINNETONKA, MN
Past
October 15, 2014 - August 21, 2017
FINANCIAL WEST GROUP
BD
CRD#: 16668
MINNETONKA, MN
Past
June 21, 2013 - November 6, 2014
CABOT LODGE SECURITIES LLC
BD
CRD#: 159712
Minnetonka, MN
Past
October 4, 2011 - November 6, 2014
CL WEALTH MANAGEMENT LLC
RIA
CRD#: 134922
SCHAUMBURG, IL
Past
October 3, 2011 - July 16, 2013
ALLIED BEACON PARTNERS, INC.
BD
CRD#: 46227
ST. LOUIS PARK, MN
Past
April 9, 2009 - September 30, 2011
WORKMAN SECURITIES CORPORATION
RIA
CRD#: 31898
MINNETONKA, MN
Past
December 14, 2007 - September 30, 2011
WORKMAN SECURITIES CORPORATION
BD
CRD#: 31898
MINNETONKA, MN
Past
October 31, 2005 - December 20, 2007
OSAIC SERVICES, INC.
BD
CRD#: 133763
DULUTH, MN
Past
September 22, 2005 - October 31, 2005
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
December 2, 2004 - July 29, 2005
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
October 30, 2003 - October 15, 2004
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
LINCOLN, NE
Past
February 20, 2003 - August 6, 2003
CANADA LIFE OF AMERICA FINANCIAL SERVICES, INC.
BD
CRD#: 24220
GREENWOOD VILLAGE, CO
Past
June 27, 2001 - December 11, 2002
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
February 29, 2000 - March 2, 2001
IAC SECURITIES, INC.
BD
CRD#: 14081
TINLEY PARK, IL
Past
March 30, 1999 - February 22, 2000
FIRSTAR INVESTMENT SERVICES,INC.
BD
CRD#: 14536
MORRIS PLAINS, NJ
Past
February 18, 1998 - December 31, 1998
FIRSTAR INVESTMENT SERVICES,INC.
BD
CRD#: 14536
MORRIS PLAINS, NJ
Past
August 11, 1995 - September 10, 1997
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST. PAUL, MN
Past
August 11, 1995 - September 18, 1997
CRI SECURITIES, LLC
BD
CRD#: 22589
ST. PAUL, MN
Past
April 28, 1993 - August 11, 1995
AMERICAN GENERAL EQUITY SERVICES CORPORATION
BD
CRD#: 5435
HOUSTON, TX
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".
PB
PACKERLAND BROKERAGE SERVICES, INC.
PACKERLAND BROKERAGE SERVICES, INC.
CRD#: 37031 / SEC#: 801-74927, 8-47572
RIA
Registered Investment Advisory firm - SEC (5/1/2012 Approved)Arizona
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Arkansas
Registered Investment Advisory firm - SEC (2/27/2009 Terminated)California
Registered Investment Advisory firm - SEC (5/22/2012 Terminated)Florida
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Illinois
Registered Investment Advisory firm - SEC (5/1/2012 Terminated)Indiana
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Iowa
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Kansas
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Minnesota
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Missouri
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Montana
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)New Jersey
Registered Investment Advisory firm - SEC (9/27/2012 Terminated)North Carolina
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Ohio
Registered Investment Advisory firm - SEC (5/10/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Tennessee
Registered Investment Advisory firm - SEC (5/31/2012 Terminated)Virginia
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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
Louisiana(1/3/2025)
IAR
Minnesota(1/2/2025)
RR
Minnesota(1/3/2025)
IAR
Wisconsin(1/2/2025)
RR
Wisconsin(1/3/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PB
PACKERLAND BROKERAGE SERVICES, INC.
PACKERLAND BROKERAGE SERVICES, INC.
CRD#: 37031 / SEC#: 801-74927, 8-47572
RIA
Registered Investment Advisory firm - SEC (5/1/2012 Approved)Arizona
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Arkansas
Registered Investment Advisory firm - SEC (2/27/2009 Terminated)California
Registered Investment Advisory firm - SEC (5/22/2012 Terminated)Florida
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Illinois
Registered Investment Advisory firm - SEC (5/1/2012 Terminated)Indiana
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Iowa
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Kansas
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Minnesota
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Missouri
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Montana
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)New Jersey
Registered Investment Advisory firm - SEC (9/27/2012 Terminated)North Carolina
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Ohio
Registered Investment Advisory firm - SEC (5/10/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Tennessee
Registered Investment Advisory firm - SEC (5/31/2012 Terminated)Virginia
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
432 Security Blvd. Ste. 101, Green Bay, WI 54313-9709
Mailing Address
432 Security Blvd., Green Bay, WI 54313
Phone number
(920) 662-9500
Established
Wisconsin since 07/11/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
286
SEC notice filing (47 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KELLY, ZACHARY P | DIRECTOR, SHAREHOLDER, CEO, BOARD PRESIDENT & SECRETARY | 5263665 |
| VAN ESS, WILLIAM SCOTT | DIRECTOR, SHAREHOLDER, CHAIRMAN OF THE BOARD | 1929840 |
| WESTENBERG, STEVEN G | DIRECTOR, SHAREHOLDER, VICE CHAIRMAN , TREASURER | 2440924 |
| BOSTWICK, KAREN P | SHAREHOLDER | 2643853 |
| DOELGER, AARON ANDREW | SHAREHOLDER, CHIEF COMPLIANCE OFFICER | 4357639 |
Regulatory assets under management
| Total Number of Accounts | 4,245 |
| AUM (Assets Under Management) | $ 909,478,703 |
Disclosures
| Regulatory Event | 2 |
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.
