Andrew F. Lundberg

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CRD#: 314406

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.

Andrew Frederick Lundberg was a registered financial professional .

Andrew is a previously registered financial professional and started their career in finance in 1972. Andrew had worked at 15 firms and has passed the Series 63, Series 7TO, SIE, Series 1, Series 4 and Series 24 exams.

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.

The advisor shows no other business activity.

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

August 31, 2018 - January 6, 2026

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.

CRD#: 42941

GOLDEN VALLEY, MN

Past

October 12, 2007 - September 5, 2018

FELTL & COMPANY

CRD#: 6905

MINNETONKA, MN

Past

May 1, 2006 - October 17, 2007

STIFEL INDEPENDENT ADVISORS, LLC

CRD#: 28218

BLOOMINGTON, MN

Past

July 20, 2001 - May 1, 2006

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

EDINA, MN

Past

February 6, 1995 - July 27, 2001

COLLIERS SECURITIES LLC

CRD#: 7477

MINNEAPOLIS, MN

Past

September 1, 1994 - February 16, 1995

PRINCIPAL FINANCIAL SECURITIES,INC.

CRD#: 260

DALLAS, TX

Past

July 19, 1993 - September 1, 1994

HAMILTON INVESTMENTS, INC.

CRD#: 821

Past

May 29, 1990 - June 1, 1990

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

August 13, 1976 - July 19, 1993

CRAIG-HALLUM, INC.

CRD#: 1546

Past

June 3, 1975 - September 13, 1976

MIDWEST DISCOUNT SECURITIES, INC.

CRD#: 6226

Past

April 24, 1974 - July 9, 1975

MARGOLIS & CO., INC.

CRD#: 5464

Past

April 3, 1974 - June 8, 1974

WADDELL & REED

CRD#: 866

Past

March 2, 1973 - September 14, 1976

MIDLAND SECURITIES CORP

CRD#: 1000003

Past

July 14, 1972 - July 11, 1975

TEIG ROSS, INC.

CRD#: 3568

Past

January 19, 1972 - August 21, 1972

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

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".

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)

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

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Series 63

Date: 3/24/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 1/13/1972

Registered Representative Examination

Principal/Supervisory Exam

Series 4

Date: 7/18/1988

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/2/1984

General Securities Principal Examination

Current Firm

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)

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

SEC notice filing (38 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

202409 THE OAK RIDGE FINANCIAL SERVICES BROCHURE (12/23/2025)

Direct owners and executive officers

Name	Position	CRD#
OAK RIDGE ACQUISITION CORPORATION	CORPORATE OWNER
COWAN, BRANDON JAMES	EVP, CCO	5404862
EKMAN, JOHN RICHARD	EXECUTIVE VICE PRESIDENT	1632217
KING, RUSSELL STUART	CHAIRMAN, CEO & DIRECTOR	1703706
RIP, OLGA	FINOP	5440553
RUMBLE, JULIE ANN MACY	VP, OPERATIONS MANAGER	2643309

Regulatory assets under management

Total Number of Accounts	1,500
AUM (Assets Under Management)	$ 668,581,099

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.

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Advisor Monitoring

Firm Stability Insights

Andrew F. Lundberg

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FELTL & COMPANY

STIFEL INDEPENDENT ADVISORS, LLC

STIFEL, NICOLAUS & COMPANY, INCORPORATED

COLLIERS SECURITIES LLC

PRINCIPAL FINANCIAL SECURITIES,INC.

HAMILTON INVESTMENTS, INC.

ROBERT W. BAIRD & CO. INCORPORATED

CRAIG-HALLUM, INC.

MIDWEST DISCOUNT SECURITIES, INC.

MARGOLIS & CO., INC.

WADDELL & REED

MIDLAND SECURITIES CORP

TEIG ROSS, INC.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

Primary Firm SEC Registration

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/24/1982

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 1/13/1972

Series 4

Date: 7/18/1988

Series 24

Date: 3/2/1984

Current Firm

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.

Contact information

SEC notice filing (38 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.

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