Joseph P. Holien

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CRD#: 2757736

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.

Joseph Peter Holien was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 2004. Joseph had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

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.

1. JOSEPH HOLIEN; INV RELATED; 3154 124TH AVENUE NE, UNIT D, BLAINE, MN 55449; INSURANCE; INSURANCE AGENT; START 04/2012; 0 HOURS PER MONTH; 0 HOURS DURING SECURITIES TRADING HOURS; ACTIVE INSURANCE LICENSE, NO PRODUCTION/SOLICITING. 2. VIGOR HEALTH COACHING; NOT INV RELATED; 3154 124TH AVENUE NE, UNIT D, BLAINE, MN 55449; COACHING FOR HEALTH/WELLNESS; FOUNDER/CEO; START 11/2020; 5 HOURS PER MONTH; 0 HOURS DURING SECURITIES TRADING HOURS; COACHING FOR HEALTH/WELLNESS.

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 1, 2023 - June 30, 2025

GRADIENT SECURITIES, LLC

RIA

CRD#: 127701

ARDEN HILLS, MN

Past

May 3, 2023 - June 30, 2025

GRADIENT SECURITIES, LLC

CRD#: 127701

ARDEN HILLS, MN

Past

June 27, 2012 - March 21, 2023

RIVERSOURCE DISTRIBUTORS, INC.

CRD#: 139135

MINNEAPOLIS, MN

Past

June 19, 2009 - June 27, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

January 1, 2007 - June 19, 2009

RIVERSOURCE DISTRIBUTORS, INC.

CRD#: 139135

MINNEAPOLIS, MN

Past

March 15, 2004 - December 31, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

March 15, 2004 - January 1, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

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".

GRADIENT SECURITIES, LLC

GRADIENT SECURITIES, LLC | SYM CAPITAL SECURITIES, LLC | GRADIENT WEALTH MANAGEMENT

CRD#: 127701 / SEC#: 801-80807, 8-66032

RIA

Registered Investment Advisory firm - SEC (1/8/2015 Approved)

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.

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

IAR

Series 66

Date: 5/24/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/18/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/31/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/12/2004

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 6/10/2016

Investment Company Products/Variable Contracts Principal Examination

Current Firm

GRADIENT SECURITIES, LLC

GRADIENT SECURITIES, LLC | SYM CAPITAL SECURITIES, LLC | GRADIENT WEALTH MANAGEMENT

CRD#: 127701 / SEC#: 801-80807, 8-66032

RIA

Registered Investment Advisory firm - SEC (1/8/2015 Approved)

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

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Contact information

Main Address

4105 Lexington Avenue Suite 380, Arden Hills, MN 55126

Mailing Address

4105 Lexington Avenue Suite 380, Arden Hills, MN 55126

Phone number

(866) 991-1539

Established

Delaware since 04/09/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

GWM ADV PART 2A & 2B (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
MERAKI PRIVATE EQUITY, LLC	OWNER
JOCHUM, JAMIE LEE	FINOP	4459768
LUCIUS, CHARLES EDWARD	OWNER MERAKI PRIVATE EQUITY, LLC	1012912
LUCIUS, TAMI JEAN	OWNER MERAKI PRIVATE EQUITY, LLC	2371362
NELSON, ROBERT SCOTT	PRESIDENT & ELECTED MANAGER	4237080
REMME, BRIAN ANDREW	CHIEF COMPLIANCE OFFICER	3103459

Regulatory assets under management

Total Number of Accounts	7,322
AUM (Assets Under Management)	$ 591,069,287

Disclosures

Regulatory Event

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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Firm Stability Insights

Joseph P. Holien

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GRADIENT SECURITIES, LLC

RIVERSOURCE DISTRIBUTORS, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

RIVERSOURCE DISTRIBUTORS, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

GRADIENT SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/24/2010

Series 63

Date: 9/18/2006

SIE

Date: 10/1/2018

Series 7

Date: 12/31/2009

Series 6

Date: 3/12/2004

Series 26

Date: 6/10/2016

Current Firm

GRADIENT SECURITIES, LLC

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

GRADIENT SECURITIES, LLC

TRUST BUT VERIFY

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