AL
Andrew F. Lundberg
THE OAK RIDGE FINANCIAL SERVICES GROUP
Golden Valley, MN 55416-1089
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CRD#: 314406
AL
Professional summary
Andrew Frederick Lundberg is a registered financial professional currently at THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. located in Golden Valley, Minnesota.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 1972. Andrew has worked at 15 firms and has passed the Series 63, Series 7TO, SIE, Series 1, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Andrew Frederick Lundberg'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
August 31, 2018 - Present
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
Office #1: 701 Xenia Ave. South, Suite 100, Golden Valley, MN 55416-1089Office #2: 701 Xenia Avenue S Ste 100, Golden Valley, MN 55416RIA
BD
CRD#: 42941
Golden Valley, MN
Past
October 12, 2007 - September 5, 2018
FELTL & COMPANY
BD
CRD#: 6905
MINNETONKA, MN
Past
May 1, 2006 - October 17, 2007
STIFEL INDEPENDENT ADVISORS, LLC
BD
CRD#: 28218
BLOOMINGTON, MN
Past
July 20, 2001 - May 1, 2006
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
EDINA, MN
Past
February 6, 1995 - July 27, 2001
COLLIERS SECURITIES LLC
BD
CRD#: 7477
MINNEAPOLIS, MN
Past
September 1, 1994 - February 16, 1995
PRINCIPAL FINANCIAL SECURITIES,INC.
BD
CRD#: 260
DALLAS, TX
Past
July 19, 1993 - September 1, 1994
HAMILTON INVESTMENTS, INC.
BD
CRD#: 821
Past
May 29, 1990 - June 1, 1990
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
August 13, 1976 - July 19, 1993
CRAIG-HALLUM, INC.
BD
CRD#: 1546
Past
June 3, 1975 - September 13, 1976
MIDWEST DISCOUNT SECURITIES, INC.
BD
CRD#: 6226
Past
April 24, 1974 - July 9, 1975
MARGOLIS & CO., INC.
BD
CRD#: 5464
Past
April 3, 1974 - June 8, 1974
WADDELL & REED
BD
CRD#: 866
Past
March 2, 1973 - September 14, 1976
MIDLAND SECURITIES CORP
BD
CRD#: 1000003
Past
July 14, 1972 - July 11, 1975
TEIG ROSS, INC.
BD
CRD#: 3568
Past
January 19, 1972 - August 21, 1972
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
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".
TO
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)BD
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.
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
RR
Arizona(9/25/2018)
RR
California(8/31/2018)
RR
Colorado(8/31/2018)
RR
Florida(9/25/2018)
RR
Georgia(10/22/2021)
RR
Idaho(9/25/2018)
RR
Illinois(9/25/2018)
RR
Iowa(9/25/2018)
RR
Louisiana(9/25/2018)
RR
Michigan(9/25/2018)
RR
Minnesota(8/31/2018)
RR
Nebraska(9/25/2018)
RR
Nevada(9/25/2018)
RR
New Jersey(9/25/2018)
RR
New Mexico(8/18/2021)
RR
New York(9/25/2018)
RR
North Dakota(9/25/2018)
RR
Ohio(8/31/2018)
RR
Pennsylvania(9/25/2018)
RR
Rhode Island(12/21/2021)
RR
South Carolina(9/25/2018)
RR
South Dakota(9/25/2018)
RR
Texas(9/25/2018)
RR
Utah(9/25/2018)
RR
Virginia(5/14/2021)
RR
Washington(9/25/2018)
RR
Wisconsin(9/25/2018)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 1/13/1972
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TO
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)BD
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
60
SEC notice filing (34 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 1,501 |
| AUM (Assets Under Management) | $ 456,416,227 |
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.
