Dorothy S. Fuller

ADVANCED ADVISOR GROUP

Cambridge, MN 55008

Some features on this profile are disabled

CRD#: 4496954

Professional summary

Dorothy Susan Fuller, who also goes by Dorothy Susan Chlystek, is a registered financial professional currently at ADVANCED ADVISOR GROUP, LLC located in Cambridge, Minnesota.

Dorothy is registered as a RR (Registered Representative) and started their career in finance in 2002. Dorothy has worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 6, Series 28, Series 51 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dorothy Susan Chlystek

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) - BD

Click below to view Dorothy Susan Fuller's CRS (Customer Relationship Summary).

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®

None

Experience

Current

October 4, 2006 - Present

ADVANCED ADVISOR GROUP, LLC

Office #1: 1995 East Rum River Drive S., Cambridge, MN 55008Office #2: 1995 East Rum River Drive S., Cambridge, MN 55008

RIA

CRD#: 140393

Cambridge, MN

Past

February 15, 2005 - October 5, 2006

MM ASCEND LIFE INVESTOR SERVICES, LLC

CRD#: 36451

CAMBRIDGE, MN

Past

April 9, 2004 - February 15, 2005

PMG SECURITIES CORPORATION

CRD#: 27107

ELGIN, IL

Past

February 27, 2002 - October 24, 2003

INVESTORS BROKERAGE SERVICES, INC.

CRD#: 4257

ELGIN, IL

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".

ADVANCED ADVISOR GROUP, LLC

ADVANCED ADVISOR GROUP, LLC | EFS ADVISORS, LLC | EFS ADVISORS

CRD#: 140393 / SEC#: 801-118465, 8-67313

RIA

Registered Investment Advisory firm - SEC (4/17/2020 Approved)

Iowa

Registered Investment Advisory firm - SEC (6/29/2021 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (8/10/2021 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (6/29/2021 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.

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

Indiana
(11/9/2012)

Iowa
(10/17/2006)

Minnesota
(10/9/2006)

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: 3/24/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 2/26/2002

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 28

Date: 11/17/2005

Introducing Broker/Dealer Financial Operations Principal Examination

Principal/Supervisory Exam

Series 51

Date: 7/18/2005

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 1/13/2005

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

ADVANCED ADVISOR GROUP, LLC

ADVANCED ADVISOR GROUP, LLC | EFS ADVISORS, LLC | EFS ADVISORS

CRD#: 140393 / SEC#: 801-118465, 8-67313

RIA

Registered Investment Advisory firm - SEC (4/17/2020 Approved)

Iowa

Registered Investment Advisory firm - SEC (6/29/2021 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (8/10/2021 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (6/29/2021 Terminated)

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1995 East Rum River Drive S., Cambridge, MN 55008

Mailing Address

1995 East Rum River Drive S., Cambridge, MN 55008

Phone number

(763) 689-9023

Established

Minnesota since 09/29/2005

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (3 States and Territories)

FINRA licenses (47 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

AAG ADV PART 2 BROCHURE (3/11/2025)

Direct owners and executive officers

Name	Position	CRD#
SCHUTTE, KENT DONALD	PRESIDENT	1432361
FULLER, DOROTHY SUSAN	EXECUTIVE REP. FINOP	4496954
KILLIAN, ELLIE JO	CHIEF COMPLIANCE OFFICER	6364589

Regulatory assets under management

Total Number of Accounts	105
AUM (Assets Under Management)	$ 13,497,240

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.

Similar Advisors

Tracy Martin

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IAR

Scottsdale, AZ

Gregory Harris

PFS INVESTMENTS INC.

Farmingdale, NY

Raman Singh

SINGH PWM LLC

IAR

Phoenix, AZ

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Dorothy S. Fuller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Dorothy Susan Fuller's CRS (Customer Relationship Summary).

Certified licenses

Experience

MM ASCEND LIFE INVESTOR SERVICES, LLC

PMG SECURITIES CORPORATION

INVESTORS BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

ADVANCED ADVISOR GROUP, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/24/2005

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 6

Date: 2/26/2002

Series 28

Date: 11/17/2005

Series 51

Date: 7/18/2005

Series 26

Date: 1/13/2005

FINRA

Current Firm

ADVANCED ADVISOR GROUP, LLC

Contact information

SEC notice filing (3 States and Territories)

FINRA licenses (47 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

ADVANCED ADVISOR GROUP, LLC

TRUST BUT VERIFY

Similar Advisors