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Anders Raaum

CRD# 2987546·Registered 1998 - 2024
Previously Registered: Being a previously registered professional could mean that Anders 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.

Professional Summary

Anders Raaum was a registered financial advisor. Anders was a previously registered financial professional and started their career in finance 1998 - 2024. Anders had worked at 1 firm and has passed the Series 63, Series 99TO, SIE, Series 7, Series 27 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

28 years in the financial services industry

Current & Past Employments

FED MUTUAL FINANCIAL SERVICES, INC.·CRD# 7678
BD
Riverwoods, IL
January 22, 1998 - August 2, 2024

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Current Firm

FM
FED MUTUAL FINANCIAL SERVICES, INC.

FED MUTUAL FINANCIAL SERVICES, INC.

CRD#: 7678 / SEC#: 8-22813
BD
Terminated by SEC on 08/02/2024

Contact Information

Established

Delaware since 05/17/1973

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Small

Documents

Direct owners and executive officers

NamePositionCRD#
FEDERAL LIFE INSURANCE COMPANY100% OWNER OF FED MUTUAL FINANCIAL SERVICES, INC.—
AUSTIN, WILLIAM STANTONDIRECTOR—
RAAUM, ANDERSDIRECTOR, PRESIDENT AND CEO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER2987546
WALLACH, KENNETH TODDCHIEF COMPLIANCE OFFICER, SECRETARY5717336

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 1998About the Series 63 exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jan 1998About the Series 7 exam

Series 27 — Financial and Operations Principal Examination

Passed Mar 2011About the Series 27 exam

Series 24 — General Securities Principal Examination

Passed Mar 1998About the Series 24 exam

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CRS (Client Relationship Summary)

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

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