PR
Patrick T. Ross
ROSSJOHNSON & ASSOCIATES
Plymouth, MN 55447
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CRD#: 2387120
PR
Professional summary
Patrick Terrence Ross is a registered financial advisor currently at ROSSJOHNSON & ASSOCIATES, LLC located in Plymouth, Minnesota.
Patrick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Patrick has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 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.
Currently Field Representative for Guardian and Park Avenue Securities, receive commission for Life and Disability sales, receive AUM through SEI Trust and Park Avenue Securities Patrick Terrence Ross is the owner of Cabin at Rental Cabin which is not an investment related business; Location:420 Birch Ln Longville MN 56655 ; Description: Rental Cabin; Responsibilities Duties: Owner of cabin; Start date: 2024-01-01; Hours per month devoted during trading hours: 0; Hours per month devoted outside trading hours: 1; Percentage of total yearly compensation expected: 0. Patrick Terrence Ross is a beneficial owner at Estate of Charles M Ross which is not an investment related business; Entail service on board of directors for a publicly traded company: No; Responsibilities duties: 25% beneficial owner of land inherited; Start Date: 2022-12-03; Hours per month devoted during trading hours: 1; Hours per month devoted outside trading hours: 1; Percentage of total yearly compensation expected: 0.
CRS (Client Relationship Summary) - RIA
Click below to view Patrick Terrence Ross'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®
NoneExperience
Current
August 3, 2018 - Present
ROSSJOHNSON & ASSOCIATES, LLC
Office #1: 3380 Annapolis Lane N B-100, Plymouth, MN 55447RIA
CRD#: 297583
Plymouth, MN
Past
May 3, 1999 - August 7, 2018
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
PLYMOUTH, MN
Past
February 13, 1997 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
January 14, 1994 - February 12, 1997
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
January 14, 1994 - February 13, 1997
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
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".
R&
ROSSJOHNSON & ASSOCIATES, LLC
ROSSJOHNSON & ASSOCIATES, LLC
CRD#: 297583 / SEC#: 801-118296
RIA
Registered Investment Advisory firm - (3/24/2020 Approved)Michigan
Registered Investment Advisory firm - (1/3/2020 Terminated)Minnesota
Registered Investment Advisory firm - (3/27/2020 Terminated)Texas
Registered Investment Advisory firm - (3/26/2020 Terminated)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.Highlighted states indicate IAR registrations
IAR
Minnesota(8/3/2018)
IAR
Texas(6/3/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
R&
ROSSJOHNSON & ASSOCIATES, LLC
ROSSJOHNSON & ASSOCIATES, LLC
CRD#: 297583 / SEC#: 801-118296
RIA
Registered Investment Advisory firm - (3/24/2020 Approved)Michigan
Registered Investment Advisory firm - (1/3/2020 Terminated)Minnesota
Registered Investment Advisory firm - (3/27/2020 Terminated)Texas
Registered Investment Advisory firm - (3/26/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3380 Annapolis Lane N B-100, Plymouth, MN 55447
Mailing Address
Phone number
(763) 560-2127
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 566 |
| AUM (Assets Under Management) | $ 170,415,282 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
