GC
Gracia A. Cavanaugh
ASSOCIATED INVESTMENT SERVICES
MINNEAPOLIS, MN 55402
Some features on this profile are disabled
CRD#: 4122336
GC
Gracia Ann CavanaughASSOCIATED INVESTMENT SERVICES
Professional summary
Gracia Ann Cavanaugh, CFP®, who also goes by Grace Cavanaugh, is a registered financial advisor currently at ASSOCIATED INVESTMENT SERVICES, INC. located in Minneapolis, Minnesota.
Gracia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Gracia has worked at 3 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Aliases
Grace Cavanaugh
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) - RIA
Click below to view Gracia Ann Cavanaugh's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Gracia Ann Cavanaugh'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
July 3, 2026 - Present
ASSOCIATED INVESTMENT SERVICES, INC.
Office #1: 80 S 8th St, Suite 214, Minneapolis, MN 55402RIA
BD
CRD#: 1464
MINNEAPOLIS, MN
Current
July 3, 2026 - Present
ASSOCIATED INVESTMENT SERVICES, INC.
Office #1: 433 Main Street, Green Bay, WI 54301-5114RIA
BD
CRD#: 1464
GREEN BAY, WI
Past
June 11, 2020 - December 26, 2025
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
Minneapolis, MN
Past
March 11, 2016 - December 26, 2025
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
Minneapolis, MN
Past
December 19, 2013 - May 21, 2015
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
PLYMOUTH, MN
Past
September 7, 2000 - May 21, 2015
FSC SECURITIES CORPORATION
BD
CRD#: 7461
PLYMOUTH, 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
RR
Minnesota(7/3/2026)
IAR
Minnesota(7/3/2026)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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)
Loading...
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
60
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 | 5,422 |
| AUM (Assets Under Management) | $ 1,169,239,099 |
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 |
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#: 1464Minneapolis, MN 55402TRUST BUT VERIFY
Monitor Gracia Cavanaugh
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
