Gary A. Wallberg

LOCORR DISTRIBUTORS

Excelsior, MN 55331

Some features on this profile are disabled

CRD#: 2378172

Professional summary

Gary Allen Wallberg, CFP®, who also goes by Gary Allen Wallberg, is a registered financial professional currently at LOCORR DISTRIBUTORS, LLC located in Excelsior, Minnesota.

Gary is registered as a RR (Registered Representative) and started their career in finance in 1993. Gary has worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Gary Allen Wallberg

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) FIXED INSURANCE THRU JBC COMPANIES & LBSI INSURANCE LLC 2) YOUTH SOCCER REFEREE, 2HRS/WK 3) LEONARD J AND SYLVI W JONES REVOCABLE TRUST, TRUSTEE, TRUST FOR MOTHER AND STEP-FATHER 4) LIBERTY SAVINGS BANK, VICE PRESIDENT, SOLE RESPONSIBILITY IS IMPLEMENTING THE FINANCIAL SERVICES PROGRAM THROUGH CETERA 5) BOARD OF DIRECTORS, ADA CHAMBER OF COMMERCE, 1/HR/WK

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Gary Allen Wallberg'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®

CFP^®

Certified Financial Planner

Start date: 2004

Experience

Current

August 17, 2022 - Present

LOCORR DISTRIBUTORS, LLC

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

CRD#: 41782

Excelsior, MN

Past

August 16, 2020 - May 20, 2022

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

MARYSVILLE, OH

Past

August 14, 2020 - May 20, 2022

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

MARYSVILLE, OH

Past

June 10, 2019 - August 17, 2020

OSAIC INSTITUTIONS, INC.

RIA

CRD#: 35371

Marysville, OH

Past

June 10, 2019 - August 17, 2020

OSAIC INSTITUTIONS, INC.

CRD#: 35371

Marysville, OH

Past

November 6, 2017 - May 30, 2019

CUSO FINANCIAL SERVICES, L.P.

RIA

CRD#: 42132

COLUMBUS, OH

Past

November 6, 2017 - May 30, 2019

CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132

COLUMBUS, OH

Past

October 1, 2012 - November 10, 2017

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

WESTERVILLE, OH

Past

October 1, 2012 - November 10, 2017

J.P. MORGAN SECURITIES LLC

CRD#: 79

WESTERVILLE, OH

Past

January 25, 2012 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

COLUMBUS, OH

Past

January 17, 2012 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

COLUMBUS, OH

Past

January 21, 2006 - December 2, 2011

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

POWELL, OH

Past

November 26, 2004 - December 31, 2005

ENTERPRISE FUND DISTRIBUTORS, INC.

CRD#: 883

ATLANTA, GA

Past

October 19, 2004 - November 18, 2004

SEQUOIA FINANCIAL GROUP, L.L.C.

RIA

CRD#: 117756

AKRON, OH

Past

August 20, 2003 - November 22, 2004

LPL FINANCIAL LLC

RIA

CRD#: 6413

COLUMBUS, OH

Past

August 18, 2003 - November 22, 2004

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

July 29, 1998 - June 27, 2003

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

Past

January 23, 1996 - April 16, 1998

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

September 7, 1993 - December 12, 1995

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

Past

September 7, 1993 - December 31, 1995

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

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

Minnesota
(8/18/2022)

Ohio
(8/17/2022)

Exams

State Security Law Exam

IAR

Series 65

Date: 1/20/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/3/1993

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: 3/14/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/3/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 51

Date: 11/28/2006

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/13/1996

General Securities Principal 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Chad Rusten

ELEMENT SQUARED PRIVATE WEALTH

IAR

Minneapolis, MN

Janai Deitt

THRIVENT INVESTMENT MANAGEMENT INC.

IAR

McKinney, TX

Steven Schmidt

LPL ENTERPRISE, LLC

IAR

ST. LOUIS PARK, MN

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Gary A. Wallberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Gary Allen Wallberg's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT ADVISERS LLC

CETERA INVESTMENT SERVICES LLC

OSAIC INSTITUTIONS, INC.

OSAIC INSTITUTIONS, INC.

CUSO FINANCIAL SERVICES, L.P.

CUSO FINANCIAL SERVICES, L.P.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

ALLSTATE FINANCIAL SERVICES, LLC

ENTERPRISE FUND DISTRIBUTORS, INC.

SEQUOIA FINANCIAL GROUP, L.L.C.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

DWS DISTRIBUTORS, INC.

MML INVESTORS SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

ROBERT W. BAIRD & CO. INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 1/20/2012

Series 63

Date: 9/3/1993

SIE

Date: 10/1/2018

Series 7

Date: 3/14/1996

Series 6

Date: 9/3/1993

Series 51

Date: 11/28/2006

Series 24

Date: 5/13/1996

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

Similar Advisors