Steven M. Vasgaard

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CRD#: 2317746

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Steven Milner Vasgaard, who also goes by Steve Milner Vasgaard, Steven Vasgaard, was a registered financial professional .

Steven is a previously registered financial professional and started their career in finance in 1998. Steven had worked at 9 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Steve Milner Vasgaard | Steven Vasgaard

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.

Wealth & Retirement Investments; Investment Related; 9725 Kingston Pike #305B, Knoxville, TN 37922; Financial & Retirement Planning; Investment Advisor Representative; NAME: WEALTH AND RETIREMENT STRATEGIES, INC. INVESTMENT-RELATED: YES ADDRESS: 9724 KINGSTON PIKE #305B, KNOXVILLE, TN 37922 NATURE OF THE OTHER BUSINESS: INSURANCE POSITION: OWNER/INSURANCE AGENT START DATE: 2000, APPROXIMATE NUMBER OF HOURS/MONTH YOU DEVOTE TO THE OTHER BUSINESS: 120 NUMBER OF HOURS YOU DEVOTE TO THE OTHER BUSINESS DURING SECURITIES TRADING HOURS: 100 DUTIES: INSURANCE SALES

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 21, 2022 - August 2, 2022

GRADIENT ADVISORS, LLC

RIA

CRD#: 152665

Knoxville, TN

Past

February 11, 2015 - December 31, 2022

WEALTH AND RETIREMENT INVESTMENTS, INC.

RIA

CRD#: 174332

KNOXVILLE, TN

Past

April 24, 2013 - June 14, 2013

ONEAMERICA SECURITIES, INC.

CRD#: 4173

KNOXVILLE, TN

Past

April 22, 2013 - June 14, 2013

ONEAMERICA SECURITIES, INC.

RIA

CRD#: 4173

KNOXVILLE, TN

Past

February 9, 2011 - June 6, 2011

ONEAMERICA SECURITIES, INC.

RIA

CRD#: 4173

KNOXVILLE, TN

Past

October 18, 2010 - June 6, 2011

ONEAMERICA SECURITIES, INC.

CRD#: 4173

KNOXVILLE, TN

Past

April 1, 2008 - March 18, 2009

CENTAURUS FINANCIAL, INC.

RIA

CRD#: 30833

KNOXVILLE, TN

Past

March 26, 2008 - March 18, 2009

CENTAURUS FINANCIAL, INC.

CRD#: 30833

KNOXVILLE, TN

Past

June 26, 2007 - November 27, 2007

SILVER OAK SECURITIES, INCORPORATED

RIA

CRD#: 46947

KNOXVILLE, TN

Past

June 26, 2007 - November 27, 2007

SILVER OAK SECURITIES, INCORPORATED

CRD#: 46947

JACKSON, TN

Past

December 6, 2004 - September 30, 2005

ON INVESTMENT MANAGEMENT CO

RIA

CRD#: 105662

KNOXVILLE, TN

Past

March 17, 2004 - September 30, 2005

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

CINCINNATI, OH

Past

July 9, 1998 - September 30, 2003

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

April 6, 1998 - July 2, 1998

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

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".

GRADIENT ADVISORS, LLC

CRD#: 152665 / SEC#: 801-71000

RIA

Registered Investment Advisory firm - (2/10/2010 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/1/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/20/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 3/20/1998

Investment Company Products/Variable Contracts Representative Examination

Current Firm

GRADIENT ADVISORS, LLC

CRD#: 152665 / SEC#: 801-71000

RIA

Registered Investment Advisory firm - (2/10/2010 Approved)

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Contact information

Main Address

4105 Lexington Avenue N. Suite 225, Arden Hills, MN 55126

Mailing Address

Phone number

(877) 885-0508

Established

Firm type

Fiscal year end

# of Employees

169

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A AND 2B 10-2025 (10/21/2025)

Regulatory assets under management

Total Number of Accounts	3,222
AUM (Assets Under Management)	$ 218,611,410

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

Steven M. Vasgaard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WEALTH AND RETIREMENT INVESTMENTS, INC.

ONEAMERICA SECURITIES, INC.

ONEAMERICA SECURITIES, INC.

ONEAMERICA SECURITIES, INC.

ONEAMERICA SECURITIES, INC.

CENTAURUS FINANCIAL, INC.

CENTAURUS FINANCIAL, INC.

SILVER OAK SECURITIES, INCORPORATED

SILVER OAK SECURITIES, INCORPORATED

ON INVESTMENT MANAGEMENT CO

THE O.N. EQUITY SALES COMPANY

MML INVESTORS SERVICES, LLC

GUARDIAN INVESTOR SERVICES LLC

Primary Firm SEC Registration

GRADIENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/1/2004

Series 63

Date: 3/20/1998

Series 6

Date: 3/20/1998

Current Firm

GRADIENT ADVISORS, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GRADIENT ADVISORS, LLC

TRUST BUT VERIFY

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