RE
Ricky J. Etzel
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CRD#: 2695479
RE
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ricky John Etzel, who also goes by Rick Etzel, Ricky J Etzel, was a registered financial professional .
Ricky is a previously registered financial professional and started their career in finance in 1996. Ricky had worked at 3 firms and has passed the Series 65, Series 63, Series 55, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Rick Etzel | Ricky J Etzel
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.
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®
NoneExperience
Past
May 12, 2017 - August 3, 2017
GRADIENT INVESTMENTS, LLC
RIA
CRD#: 141726
ARDEN HILLS, MN
Past
October 29, 1998 - June 5, 2003
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
February 14, 1996 - April 29, 1996
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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".
GI
GRADIENT INVESTMENTS, LLC
GRADIENT INVESTMENT GROUP LLC | REGISTERED INDEPENDENT ADVISORS, LLC | REGISTERED INDEPENDENT AGENTS, LLC | GRADIENT INVESTMENTS, LLC
CRD#: 141726 / SEC#: 801-70812
RIA
Registered Investment Advisory firm - (12/1/2009 Approved)Alabama
Registered Investment Advisory firm - (1/20/2010 Terminated)Arizona
Registered Investment Advisory firm - (12/8/2009 Terminated)California
Registered Investment Advisory firm - (12/9/2009 Terminated)Colorado
Registered Investment Advisory firm - (12/10/2009 Terminated)Florida
Registered Investment Advisory firm - (12/8/2009 Terminated)Idaho
Registered Investment Advisory firm - (12/8/2009 Terminated)Kansas
Registered Investment Advisory firm - (12/8/2009 Terminated)Maryland
Registered Investment Advisory firm - (12/21/2009 Terminated)Minnesota
Registered Investment Advisory firm - (12/8/2009 Terminated)Missouri
Registered Investment Advisory firm - (12/8/2009 Terminated)Nevada
Registered Investment Advisory firm - (12/31/2009 Terminated)New Jersey
Registered Investment Advisory firm - (12/8/2009 Terminated)New York
Registered Investment Advisory firm - (11/19/2009 Cancelled)North Carolina
Registered Investment Advisory firm - (12/8/2009 Terminated)Ohio
Registered Investment Advisory firm - (12/8/2009 Terminated)Pennsylvania
Registered Investment Advisory firm - (12/10/2009 Terminated)South Carolina
Registered Investment Advisory firm - (12/8/2009 Terminated)Tennessee
Registered Investment Advisory firm - (12/23/2009 Terminated)Texas
Registered Investment Advisory firm - (12/8/2009 Terminated)Virginia
Registered Investment Advisory firm - (12/9/2009 Terminated)Wisconsin
Registered Investment Advisory firm - (12/8/2009 Terminated)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.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 55
Date: 12/15/1998
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
GI
GRADIENT INVESTMENTS, LLC
GRADIENT INVESTMENT GROUP LLC | REGISTERED INDEPENDENT ADVISORS, LLC | REGISTERED INDEPENDENT AGENTS, LLC | GRADIENT INVESTMENTS, LLC
CRD#: 141726 / SEC#: 801-70812
RIA
Registered Investment Advisory firm - (12/1/2009 Approved)Alabama
Registered Investment Advisory firm - (1/20/2010 Terminated)Arizona
Registered Investment Advisory firm - (12/8/2009 Terminated)California
Registered Investment Advisory firm - (12/9/2009 Terminated)Colorado
Registered Investment Advisory firm - (12/10/2009 Terminated)Florida
Registered Investment Advisory firm - (12/8/2009 Terminated)Idaho
Registered Investment Advisory firm - (12/8/2009 Terminated)Kansas
Registered Investment Advisory firm - (12/8/2009 Terminated)Maryland
Registered Investment Advisory firm - (12/21/2009 Terminated)Minnesota
Registered Investment Advisory firm - (12/8/2009 Terminated)Missouri
Registered Investment Advisory firm - (12/8/2009 Terminated)Nevada
Registered Investment Advisory firm - (12/31/2009 Terminated)New Jersey
Registered Investment Advisory firm - (12/8/2009 Terminated)New York
Registered Investment Advisory firm - (11/19/2009 Cancelled)North Carolina
Registered Investment Advisory firm - (12/8/2009 Terminated)Ohio
Registered Investment Advisory firm - (12/8/2009 Terminated)Pennsylvania
Registered Investment Advisory firm - (12/10/2009 Terminated)South Carolina
Registered Investment Advisory firm - (12/8/2009 Terminated)Tennessee
Registered Investment Advisory firm - (12/23/2009 Terminated)Texas
Registered Investment Advisory firm - (12/8/2009 Terminated)Virginia
Registered Investment Advisory firm - (12/9/2009 Terminated)Wisconsin
Registered Investment Advisory firm - (12/8/2009 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4105 Lexington Avenue North Suite 250, Arden Hills, MN 55126
Mailing Address
Phone number
(888) 824-3525
Established
Firm type
Fiscal year end
# of Employees
39
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 69,105 |
| AUM (Assets Under Management) | $ 7,096,331,987 |
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.
