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JE

Jon C. Essen

LOCORR DISTRIBUTORS
Excelsior, MN 55331
Some features on this profile are disabled
CRD#: 2469593
JE

Professional summary

Jon Chadwick Essen is a registered financial professional currently at LOCORR DISTRIBUTORS, LLC located in Excelsior, Minnesota.

Jon is registered as a RR (Registered Representative) and started their career in finance in 2019. Jon has worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 3, Series 7, Series 24 and Series 28 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 Jon Chadwick Essen'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®
None

Experience

Current

April 29, 2008 - Present

LOCORR DISTRIBUTORS, LLC

Office #1: 687 Excelsior Blvd, Excelsior, MN 55331
BD
CRD#: 41782
Excelsior, MN
Past

November 15, 2019 - December 7, 2020

STEBEN & COMPANY, LLC

BD
CRD#: 117808
EXCELSIOR, MN

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
(10/8/2008)

Exams

State Security Law Exam
RR
Series 63
Date: 10/7/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 11/7/2012
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 7/3/2008
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/29/2008
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 28
Date: 4/28/2008
Introducing Broker/Dealer Financial Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

LD
LOCORR DISTRIBUTORS, LLC
LOCORR DISTRIBUTORS, LLC | STRATEGIC TRADING, INC. | OCTAVUS LLC

CRD#: 41782 / SEC#: , 8-49568

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

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

Documents

Direct owners and executive officers

NamePositionCRD#
OCTAVUS GROUP LLCOWNER
KINZIE, KEVIN MICHAELCEO4384324
ESSEN, JON CHADWICKPRINCIPAL, CFO, FINOP2469593
HULL, BRIAN FRANCISCCO2685889

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

LOCORR DISTRIBUTORS, LLC

CRD#: 41782Excelsior, MN 55331

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