RR
Richard W. Rokala
THE OAK RIDGE FINANCIAL SERVICES GROUP
Golden Valley, MN 55416-1089
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CRD#: 2646330
RR
Professional summary
Richard William Rokala JR, who also goes by Richard Rokala, is a registered financial professional currently at THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. located in Golden Valley, Minnesota.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1997. Richard has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Richard Rokala
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.
DoorDash, not investment related, San Francisco, CA, delivery driver for online orders placed through DoorDash app, 08/2022, less than 10 hours per month, not during securities trading hours.
CRS (Client Relationship Summary) - BD
Click below to view Richard William Rokala JR'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
July 19, 2017 - Present
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
Office #1: 701 Xenia Avenue South Suite 100, Golden Valley, MN 55416-1089Office #2: 701 Xenia Ave. South, Suite 100, Golden Valley, MN 55416-1089Office #3: 701 Xenia Avenue S Ste 100, Golden Valley, MN 55416RIA
BD
CRD#: 42941
Golden Valley, MN
Past
July 19, 2017 - May 30, 2024
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
RIA
CRD#: 42941
GOLDEN VALLEY, MN
Past
January 31, 2014 - August 14, 2017
COLLIERS SECURITIES LLC
RIA
CRD#: 7477
MINNEAPOLIS, MN
Past
October 25, 2011 - August 14, 2017
COLLIERS SECURITIES LLC
BD
CRD#: 7477
MINNEAPOLIS, MN
Past
December 6, 2006 - November 3, 2011
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
MINNEAPOLIS, MN
Past
September 30, 2002 - December 6, 2006
MILLER JOHNSON STEICHEN KINNARD, INC.
BD
CRD#: 694
MINNEAPOLIS, MN
Past
December 14, 2001 - October 16, 2002
PIPER SANDLER & CO.
BD
CRD#: 665
MINNEAPOLIS, MN
Past
January 1, 2001 - December 14, 2001
MILLER JOHNSON STEICHEN KINNARD, INC.
BD
CRD#: 694
MINNEAPOLIS, MN
Past
January 28, 1997 - January 1, 2001
JOHN G. KINNARD AND COMPANY, INCORPORATED
BD
CRD#: 466
MINNEAPOLIS, MN
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".
TO
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)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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
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Arizona(7/19/2017)
RR
California(12/19/2022)
RR
Colorado(9/27/2017)
RR
Florida(7/19/2017)
RR
Illinois(9/21/2022)
RR
Indiana(6/13/2022)
RR
Iowa(7/19/2017)
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Kansas(7/19/2017)
RR
Kentucky(11/30/2023)
RR
Minnesota(7/23/2017)
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Nebraska(12/5/2022)
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New York(8/7/2018)
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North Carolina(8/28/2025)
RR
North Dakota(7/19/2017)
RR
Oklahoma(12/12/2022)
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Oregon(5/31/2024)
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South Carolina(7/19/2017)
RR
South Dakota(12/12/2022)
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Tennessee(6/24/2025)
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Texas(7/19/2017)
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Washington(7/19/2017)
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Wisconsin(2/15/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TO
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)BD
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
60
SEC notice filing (34 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
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.
