DF
Dorothy S. Fuller
ADVANCED ADVISOR GROUP
CAMBRIDGE, MN 55008
Some features on this profile are disabled
CRD#: 4496954
DF
Dorothy Susan FullerADVANCED ADVISOR GROUP
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.
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.
CRS (Client Relationship Summary) - BD
Click below to view Dorothy Susan Fuller'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
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 55008RIA
BD
CRD#: 140393
CAMBRIDGE, MN
Past
February 15, 2005 - October 5, 2006
MM ASCEND LIFE INVESTOR SERVICES, LLC
BD
CRD#: 36451
CAMBRIDGE, MN
Past
April 9, 2004 - February 15, 2005
PMG SECURITIES CORPORATION
BD
CRD#: 27107
ELGIN, IL
Past
February 27, 2002 - October 24, 2003
INVESTORS BROKERAGE SERVICES, INC.
BD
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".
AA
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)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
Indiana(11/9/2012)
RR
Iowa(10/17/2006)
RR
Minnesota(10/9/2006)
Exams
What does exam status mean?
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Passed: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 6
Passed: 2/26/2002
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 28
Passed: 11/17/2005
Introducing Broker/Dealer Financial Operations Principal Examination
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 26
Passed: 1/13/2005
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA
Current Firm
AA
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)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
Loading...
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
11
SEC notice filing (5 States and Territories)
FINRA licenses (47 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 96 |
| AUM (Assets Under Management) | $ 10,932,672 |
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
ADVANCED ADVISOR GROUP, LLC
CRD#: 140393Cambridge, MN 55008TRUST BUT VERIFY
Monitor Dorothy Fuller
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
