James W. Steffen

TROTT BROOK FINANCIAL

Anoka, MN 55303

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CRD#: 2342473

Professional summary

James Warren Steffen, CFP®, who also goes by James W Steffen, is a registered financial advisor currently at TROTT BROOK FINANCIAL located in Anoka, Minnesota and LASALLE ST SECURITIES, L.L.C. located in Anoka, Minnesota.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. James has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James W Steffen

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. 11/15/2002 - TROTT BROOK FINANCIAL - INV REL - AT REPORTED LOCATION - DBA Trott Brook Financial Investment Advisory business not affiliated with LaSalle St Securities LLC 2. 12/10/2002: NON-VARIABLE INSURANCE - OUTSIDE SALES OF NON-VARIABLE INSURANCE. - RAMSEY, MN. 3. NO BUSINESS NAME - NOT INV REL - 40205 N. 26th St Cave Creek, AZ 85331 - VACATION RENTAL 4.Finance Chair and Board Member for Achieve Services 5. LaSalle St Securities L.L.C.; Ramsey, MN; Investment Related; Registered Representative; Broker/Dealer product sales; Approximately 1% of time spent; Started 02/2018. 6. Jim Steffen, Sole Proprietor; Ramsey, MN; Investment Related; Insurance Agent; Fixed Insurance Sales; Less than 1% of time spent; Started 06/1991. 7. Achieve Services; Blaine, MN; Not Investment Related; Treasurer; Employment opportunities for disabled adults; Approximately 1% of time spent; Started 01/2018.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Warren Steffen's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2012

Experience

Current

February 15, 2018 - Present

TROTT BROOK FINANCIAL

Office #1: 3601 Thurston Ave Suite 102, Anoka, MN 55303

RIA

CRD#: 290962

Anoka, MN

Current

February 15, 2018 - Present

LASALLE ST SECURITIES, L.L.C.

Office #1: 3601 Thurston Ave Suite 102, Anoka, MN 55303

CRD#: 7191

Anoka, MN

Past

December 20, 2013 - February 23, 2018

LPL FINANCIAL LLC

RIA

CRD#: 6413

RAMSEY, MN

Past

December 4, 2002 - February 23, 2018

LPL FINANCIAL LLC

CRD#: 6413

RAMSEY, MN

Past

July 8, 1999 - December 12, 2002

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

April 21, 1993 - July 14, 1999

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

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.

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

Alabama
(2/15/2018)

Colorado
(2/15/2018)

Florida
(2/15/2018)

Minnesota
(2/15/2018)

IAR

Minnesota
(2/15/2018)

Nevada
(3/26/2018)

New Mexico
(2/15/2018)

North Dakota
(2/15/2018)

Wisconsin
(2/15/2018)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 4/27/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/4/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/20/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/3/2003

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

TROTT BROOK FINANCIAL

TROTT BROOK FINANCIAL | TROTT BROOK FINANCIAL, INC.

CRD#: 290962 / SEC#: 801-124792

RIA

Registered Investment Advisory firm - (4/2/2024 Terminated)

Florida

Registered Investment Advisory firm - (1/23/2020 Terminated)

Minnesota

Registered Investment Advisory firm - (3/29/2024 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

3601 Thurston Ave Suite 102, Anoka, MN 55303

Mailing Address

Phone number

(763) 213-1000

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	444
AUM (Assets Under Management)	$ 98,251,153

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

James W. Steffen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Warren Steffen's CRS (Customer Relationship Summary).

Certified licenses

Experience

LASALLE ST SECURITIES, L.L.C.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

OSAIC WEALTH, INC.

MML INVESTORS SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/27/1993

SIE

Date: 10/1/2018

Series 7

Date: 12/4/2000

Series 6

Date: 4/20/1993

Series 24

Date: 2/3/2003

FINRA

Current Firm

TROTT BROOK FINANCIAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

TROTT BROOK FINANCIAL

TRUST BUT VERIFY

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