John P. Holdahl

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CRD#: 248332

Professional summary

John Paul Holdahl was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

John is a previously registered financial professional and started their career in finance in 1969. Prior to being barred, John had worked at 10 firms, which includes THE OAK RIDGE FINANCIAL SERVICES GROUP INC., ASKAR CORP., CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC., J. P. HOLDAHL & ASSOC. INC., MILLER JOHNSON STEICHEN KINNARD INC., SHAUGHNESSY & COMPANY INC., PAGEL INC., PAINE WEBBER JACKSON & CURTIS INCORPORATED, DAIN KALMAN & QUAIL INCORPORATED, DUPONT WALSTON INCORPORATED.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 23, 2004 - July 12, 2004

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.

CRD#: 42941

GOLDEN VALLEY, MN

Past

January 30, 2002 - June 10, 2002

ASKAR CORP.

CRD#: 7512

BLOOMINGTON, MN

Past

April 30, 1997 - January 19, 2000

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.

CRD#: 42941

GOLDEN VALLEY, MN

Past

November 10, 1981 - April 30, 1997

CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.

CRD#: 7449

VANCOUVER,

Past

October 11, 1978 - September 19, 1981

J. P. HOLDAHL & ASSOC., INC.

CRD#: 7693

Past

January 18, 1978 - October 1, 1978

CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.

CRD#: 7449

Past

March 2, 1977 - February 14, 1978

MILLER JOHNSON STEICHEN KINNARD, INC.

CRD#: 694

Past

May 11, 1976 - March 25, 1977

SHAUGHNESSY & COMPANY, INC.

CRD#: 3380

Past

February 18, 1976 - May 15, 1976

PAGEL INC.

CRD#: 6007

Past

November 18, 1974 - September 2, 1975

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

CRD#: 640

Past

February 3, 1971 - November 11, 1974

DAIN, KALMAN & QUAIL, INCORPORATED

CRD#: 202

Past

August 14, 1969 - March 3, 1971

DUPONT WALSTON, INCORPORATED

CRD#: 870

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".

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.

EQUITY SECURITIES INVESTMENTS, INC. | THE SWANSON GROUP | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC | THE OAK RIDGE FINANCIAL SERVICES GROUP INC

CRD#: 42941 / SEC#: 801-80809, 8-50082

RIA

Registered Investment Advisory firm - SEC (1/15/2015 Approved)

Florida

Registered Investment Advisory firm - SEC (5/18/2015 Terminated)

Idaho

Registered Investment Advisory firm - SEC (12/31/2009 Terminated)

Illinois

Registered Investment Advisory firm - SEC (12/31/2009 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (5/18/2015 Terminated)

Montana

Registered Investment Advisory firm - SEC (12/31/2012 Terminated)

Washington

Registered Investment Advisory firm - SEC (12/14/2009 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (3/31/2015 Terminated)

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

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).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

Series 63

Date: 11/4/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/17/1981

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 1/18/1968

Registered Representative Examination

Principal/Supervisory Exam

F04

Date: 4/20/1978

Financial Principal Examination

Principal/Supervisory Exam

Series 40

Date: 8/25/1977

Registered Principal Examination

Current Firm

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.

EQUITY SECURITIES INVESTMENTS, INC. | THE SWANSON GROUP | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC | THE OAK RIDGE FINANCIAL SERVICES GROUP INC

CRD#: 42941 / SEC#: 801-80809, 8-50082

RIA

Registered Investment Advisory firm - SEC (1/15/2015 Approved)

Florida

Registered Investment Advisory firm - SEC (5/18/2015 Terminated)

Idaho

Registered Investment Advisory firm - SEC (12/31/2009 Terminated)

Illinois

Registered Investment Advisory firm - SEC (12/31/2009 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (5/18/2015 Terminated)

Montana

Registered Investment Advisory firm - SEC (12/31/2012 Terminated)

Washington

Registered Investment Advisory firm - SEC (12/14/2009 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (3/31/2015 Terminated)

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

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Contact information

Main Address

701 Xenia Ave. South, Suite 100 Suite 100, Golden Valley, MN 55416-1089

Mailing Address

701 Xenia Ave. South, Suite 100, Golden Valley, MN 55416-1089

Phone number

(763) 923-2200

Established

Minnesota since 03/13/1997

Firm type

Corporation

Fiscal year end

September

Firm Size

Small

# of Employees

SEC notice filing (34 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

202409 THE OAK RIDGE FINANCIAL SERVICES BROCHURE (12/16/2024)

Direct owners and executive officers

Name	Position	CRD#
OAK RIDGE ACQUISITION CORPORATION	CORPORATE OWNER
COWAN, BRANDON JAMES	EVP, CCO	5404862
EKMAN, JOHN RICHARD	EXECUTIVE VICE PRESIDENT	1632217
KING, RUSSELL STUART	CHAIRMAN, CEO & DIRECTOR	1703706
RIP, OLGA	FINOP	5440553
RUMBLE, JULIE ANN MACY	VP, OPERATIONS MANAGER	2643309

Regulatory assets under management

Total Number of Accounts	1,501
AUM (Assets Under Management)	$ 456,416,227

Disclosures

Regulatory Event	8
Arbitration	2

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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John P. Holdahl

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ASKAR CORP.

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.

CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.

J. P. HOLDAHL & ASSOC., INC.

CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.

MILLER JOHNSON STEICHEN KINNARD, INC.

SHAUGHNESSY & COMPANY, INC.

PAGEL INC.

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

DAIN, KALMAN & QUAIL, INCORPORATED

DUPONT WALSTON, INCORPORATED

Primary Firm SEC Registration

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/4/1981

Series 7

Date: 10/17/1981

Series 1

Date: 1/18/1968

F04

Date: 4/20/1978

Series 40

Date: 8/25/1977

Current Firm

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.

Contact information

SEC notice filing (34 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.

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