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TH

Thomas D. Herstad

AEI SECURITIES
St. Paul, MN 55101
Some features on this profile are disabled
CRD#: 2386336
TH

Professional summary

Thomas David Herstad is a registered financial professional currently at AEI SECURITIES, INC. located in St. Paul, Minnesota.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1993. Thomas has worked at 4 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 52, Series 79, Series 7, Series 14, Series 4, Series 53, Series 24 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas David Herstad'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®
None

Experience

Current

March 6, 2023 - Present

AEI SECURITIES, INC.

Office #1: 1300 Wells Fargo Place 30 Seventh Street East, St. Paul, MN 55101Office #2: 1300 Wells Fargo Place 30 Seventh Street East, St. Paul, MN 55101-4901
BD
CRD#: 6158
St. Paul, MN
Past

December 5, 2012 - February 28, 2023

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.

RIA
CRD#: 42941
GOLDEN VALLEY, MN
Past

November 7, 2012 - February 28, 2023

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.

BD
CRD#: 42941
GOLDEN VALLEY, MN
Past

May 29, 1997 - November 30, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

November 2, 1993 - June 4, 1997

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
DETROIT, MI

State Registrations and Notice Filings

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

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
Minnesota
(3/25/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/15/2012
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 6/20/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/4/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 52
Date: 3/19/2016
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 79
Date: 3/9/2015
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 11/6/2012
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/5/2018
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 4/6/2016
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/11/2013
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 12/13/1994
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA

Current Firm

AS
AEI SECURITIES, INC.
AEI INCORPORATED | AEI SECURITIES, INC.

CRD#: 6158 / SEC#: , 8-16750

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

Main Address
1300 Wells Fargo Place 30 Seventh Street East, St. Paul, MN 55101-4901
Mailing Address
1300 Wells Fargo Place 30 Seventh Street East, St. Paul, MN 55101-4901
Phone number
(651) 227-7333
Established
Minnesota since 02/03/1971
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (19 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
AEI CAPITAL CORPORATIONHOLDING COMPANY
HERSTAD, THOMAS DAVIDCCO AND PRINCIPAL OPERATIONS OFFICER2386336
NYGARD, MARNI JOCEO AND PRESIDENT6333193
PETERSEN, KEITH ERNESTPRINCIPAL FINANCIAL OFFICER, CFO, SECRETARY AND TREASURER6747299

Disclosures

Regulatory Event3
Civil Event1

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.

Company Information

AEI SECURITIES, INC.

CRD#: 6158St. Paul, MN 55101

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