AG
Anthony J. Gruba
ASSOCIATED INVESTMENT SERVICES
Eagan, MN 55121
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CRD#: 2931047
AG
Professional summary
Anthony John Gruba, who also goes by Tony Gruba, is a registered financial advisor currently at ASSOCIATED INVESTMENT SERVICES, INC. located in Eagan, Minnesota.
Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Anthony has worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tony Gruba
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.
1.05-18-2022-Wings Financial Advisors-Investment Related- At Reported Business Location(s)- DBA for LPL Business (entity for LPL business)- 2.05-18-2022- Wings Financial CU-Investment Related-At Reported Business Location(s)- Financial Institution Duty-Advisor-START DATE: 9/2017-160 Hours Per Month/160 Hours During Securities Trading-Time Spent Percent: 100%
CRS (Client Relationship Summary) - RIA
Click below to view Anthony John Gruba's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Anthony John Gruba'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
September 18, 2023 - Present
ASSOCIATED INVESTMENT SERVICES, INC.
Office #1: 1265 Town Centre Dr., Eagan, MN 55121RIA
BD
CRD#: 1464
Eagan, MN
Current
September 18, 2023 - Present
ASSOCIATED INVESTMENT SERVICES, INC.
Office #1: 1265 Town Centre Dr., Eagan, MN 55121RIA
BD
CRD#: 1464
Eagan, MN
Past
May 18, 2022 - October 10, 2023
LPL FINANCIAL LLC
RIA
CRD#: 6413
APPLE VALLEY, MN
Past
May 18, 2022 - October 10, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
APPLE VALLEY, MN
Past
December 17, 2017 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
RIA
CRD#: 13941
APPLE VALLEY, MN
Past
November 10, 2017 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
APPLE VALLEY, MN
Past
January 17, 2014 - February 28, 2014
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
WOODBURY, MN
Past
January 3, 2012 - February 28, 2014
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
WOODBURY, MN
Past
November 26, 2008 - December 31, 2011
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
WOODBURY, MN
Past
January 19, 2001 - December 2, 2008
EDWARD JONES
BD
CRD#: 250
ST PAUL, MN
Past
June 29, 1999 - February 5, 2001
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
SAINT PAUL, MN
Past
September 8, 1997 - January 18, 1999
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
September 8, 1997 - January 18, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
BD
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".
ASSOCIATED INVESTMENT SERVICES, INC.
ASSOCIATED | ASSOCIATED WEALTH MANAGEMENT | ASSOCIATED INVESTMENT SERVICES, INC. | ASSOCIATED INVESTMENT SERVICES GROUP, INC. | ASSOCIATED INVESTMENT SERVICES GROUP | ASSOCIATED BANK PRIVATE WEALTH
CRD#: 1464 / SEC#: 801-71639, 8-99
RIA
Registered Investment Advisory firm - SEC (7/1/2010 Approved)Illinois
Registered Investment Advisory firm - SEC (7/1/2010 Terminated)Minnesota
Registered Investment Advisory firm - SEC (7/21/2010 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/20/2010 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
IAR
Minnesota(9/18/2023)
RR
Minnesota(10/13/2023)
RR
North Dakota(1/7/2025)
RR
Wisconsin(3/5/2024)
IAR
Wisconsin(3/5/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
ASSOCIATED INVESTMENT SERVICES, INC.
ASSOCIATED | ASSOCIATED WEALTH MANAGEMENT | ASSOCIATED INVESTMENT SERVICES, INC. | ASSOCIATED INVESTMENT SERVICES GROUP, INC. | ASSOCIATED INVESTMENT SERVICES GROUP | ASSOCIATED BANK PRIVATE WEALTH
CRD#: 1464 / SEC#: 801-71639, 8-99
RIA
Registered Investment Advisory firm - SEC (7/1/2010 Approved)Illinois
Registered Investment Advisory firm - SEC (7/1/2010 Terminated)Minnesota
Registered Investment Advisory firm - SEC (7/21/2010 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/20/2010 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
433 Main Street, Green Bay, WI 54301-5114
Mailing Address
P.o. Box 640, Green Bay, WI 54305-0640
Phone number
(800) 595-7722
Established
Wisconsin since 03/23/1923
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
62
SEC notice filing (19 States and Territories)
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ASSOCIATED TRUST COMPANY, N.A. | SOLE SHAREHOLDER | |
| ARNOLD, ANDREW JAMES | DIRECTOR, TREASURER | 7744204 |
| BIESE, JUSTIN MICHAEL | PRINCIPAL, FINANCIAL REPORTING | 8134423 |
| CRAVILLION, BETH ANN | DIRECTOR OF SUPPORT SERVICES | 4770231 |
| DELOYE, DENNIS MICHAEL | DIRECTOR, BOARD OF DIRECTORS | 7555524 |
| HLADIO, JAYNE CLARA | DIRECTOR, BOARD OF DIRECTORS | 2497546 |
| HOCHHOLZER, MICHAEL ROBERT | DIRECTOR, BOARD OF DIRECTORS | 2878493 |
| KUIPERS, MICHAEL DAVID | DIRECTOR, PRESIDENT & CEO | 2436388 |
| PECORA, ANTHONY PHILIP | CHIEF COMPLIANCE OFFICER | 2975013 |
| SORENSON, HEATH WILLIAM | CHAIRMAN, BOARD OF DIRECTORS | 4528655 |
| ZANDPOUR, STEVEN SIA | DIRECTOR, BOARD OF DIRECTORS | 7174720 |
Regulatory assets under management
| Total Number of Accounts | 5,050 |
| AUM (Assets Under Management) | $ 1,000,633,569 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/15/2025 | ||
| 09/26/2024 | ||
| 08/21/2023 | ||
| 10/19/2022 |
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
ASSOCIATED INVESTMENT SERVICES, INC.
CRD#: 1464Eagan, MN 55121TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
