MC
Mark J. Cool
SPLIT ROCK PRIVATE TRADING AND WEALTH MANAGEMENT LLC
Cloquet, MN 55720
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CRD#: 3154345
MC
Professional summary
Mark Joseph Cool, AIF® is a registered financial advisor currently at SPLIT ROCK PRIVATE TRADING AND WEALTH MANAGEMENT LLC located in Cloquet, Minnesota.
Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Mark has worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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) COOL AND KOCON REAL ESTATE HOLDINGS LLC; CO-MEMBER; MARK COOL IS A CO-OWNER OF A COMMERCIAL BUILDING THROUGH WHICH HE COLLECTS BOTH COMMERCIAL AND RESIDENTIAL RENTAL INCOME; 1618 CLOQUET AVE, CLOQUET, MN 55720. (2) MARK COOL IS VICE PRESIDENT AT BLACKLIST BREWING CO. INVESTMENT RELATED: NO; 120 E SUPERIOR ST, DULUTH, MN 55802; BLACKLIST BREWING CO. IS A EUROPEAN-INSPIRED BREWERY THAT SPECIALIZES IN UNIQUE, ARTFULLY-CRAFTED ALES. CREATING SMALL BATCH BREWS, THAT HONOR TRADITIONAL TECHNIQUES, INFUSED WITH CREATIVITY AND PASSION. BLACKLIST BREWING CO. SELLS THEIR CRAFT BEER IN THROUGH THEIR TAPROOM AND MULTIPLE DISTRIBUTION CHANNELS.; PROVIDES BUSINESS ANALYSIS AND OVERSEES FINANCIALS OF DAY TO DAY BUSINESS.; 2019-04-25; HOURS DEVOTED TO BUSINESS OUTSIDE TRADING HOURS: 20; PERCENTAGE OF TOTAL YEARLY COMPENSATION EXPECTED TO BE DERIVED FROM THE BUSINESS: 1; (4) Mark Joseph Cool is an Advisory Board Member at TB1Fund. He meets with the board to go over fundraising ideas. This is not securities related. No time is devoted to this activity during trading hours. 5 hours a month is devoted to this activity outside of trading hours. He receives no yearly compensation for this activity. (5) Name of outside business: Cloquet Country Club; Is the business investment related: No; Location of the business: 400 Country Club Dr Cloquet MN 55720 USA; Description of the business: Cloquet Country Club is a private country club/golf course.; Position Title: Finance Committee Member; Responsibilities Duties: We have monthly meetings to review the financials of our local country club and make recommendations to the Board of Directors when it comes to budgets and purchases.; Start date with business: 2022-11-01; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: 2; Percentage of total yearly compensation expected to be derived from the business: 0; Will an IRS form for income earned be received: No; Contact person at the organization: Bill Manahan; Website address for the organization: https://cloquetcc.com/.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Joseph Cool'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®
Experience
Current
April 12, 2013 - Present
SPLIT ROCK PRIVATE TRADING AND WEALTH MANAGEMENT LLC
Office #1: 105 Arch St, Cloquet, MN 55720RIA
CRD#: 152003
Cloquet, MN
Past
October 4, 2006 - January 6, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
CLOQUET, MN
Past
April 19, 1999 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
April 19, 1999 - January 6, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
CLOQUET, 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".
SR
SPLIT ROCK PRIVATE TRADING AND WEALTH MANAGEMENT LLC
SPLIT ROCK PRIVATE TRADING AND WEALTH MANAGEMENT | SPLIT ROCK PRIVATE TRADING AND WEALTH MANAGEMENT LLC
CRD#: 152003 / SEC#: 801-119587
RIA
Registered Investment Advisory firm - (10/9/2020 Approved)Florida
Registered Investment Advisory firm - (10/12/2020 Terminated)Louisiana
Registered Investment Advisory firm - (12/31/2016 Terminated)Minnesota
Registered Investment Advisory firm - (10/14/2020 Terminated)North Dakota
Registered Investment Advisory firm - (11/19/2015 Terminated)Texas
Registered Investment Advisory firm - (10/12/2020 Terminated)Wisconsin
Registered Investment Advisory firm - (10/12/2020 Terminated)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.Highlighted states indicate IAR registrations
IAR
Minnesota(12/16/2013)
IAR
Texas(8/20/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
SR
SPLIT ROCK PRIVATE TRADING AND WEALTH MANAGEMENT LLC
SPLIT ROCK PRIVATE TRADING AND WEALTH MANAGEMENT | SPLIT ROCK PRIVATE TRADING AND WEALTH MANAGEMENT LLC
CRD#: 152003 / SEC#: 801-119587
RIA
Registered Investment Advisory firm - (10/9/2020 Approved)Florida
Registered Investment Advisory firm - (10/12/2020 Terminated)Louisiana
Registered Investment Advisory firm - (12/31/2016 Terminated)Minnesota
Registered Investment Advisory firm - (10/14/2020 Terminated)North Dakota
Registered Investment Advisory firm - (11/19/2015 Terminated)Texas
Registered Investment Advisory firm - (10/12/2020 Terminated)Wisconsin
Registered Investment Advisory firm - (10/12/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
105 Arch St, Cloquet, MN 55720
Mailing Address
Phone number
(218) 879-3262
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,898 |
| AUM (Assets Under Management) | $ 308,706,394 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
