Jon R. Otterness

VANTAGE POINT WEALTH MANAGEMENT

MAYER, MN

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CRD#: 4568390

Professional summary

Jon Richard Otterness is a registered financial advisor currently at VANTAGE POINT WEALTH MANAGEMENT located in Mayer, Minnesota and LPL FINANCIAL LLC located in Plymouth, Minnesota.

Jon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Jon has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jon Richard Otterness'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

February 2, 2018 - Present

VANTAGE POINT WEALTH MANAGEMENT

RIA

CRD#: 167886

MAYER, MN

Current

December 8, 2017 - Present

LPL FINANCIAL LLC

Office #1: 505 N Highway 169 Suite 260, Plymouth, MN 55441

RIA

CRD#: 6413

PLYMOUTH, MN

Past

June 16, 2025 - July 10, 2026

LPL FINANCIAL LLC

RIA

CRD#: 6413

FORT MILL, SC

Past

July 17, 2012 - December 11, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

MINNEAPOLIS, MN

Past

November 21, 2007 - December 11, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

November 8, 2006 - January 23, 2007

EDWARD JONES

CRD#: 250

EXCELSIOR, MN

Past

September 25, 2002 - October 31, 2005

PARKLAND SECURITIES, LLC

CRD#: 115368

MAYER, 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".

VANTAGE POINT WEALTH MANAGEMENT

CRD#: 167886 / SEC#: 801-99343

RIA

Registered Investment Advisory firm - (6/3/2015 Approved)

Iowa

Registered Investment Advisory firm - (6/30/2015 Terminated)

Minnesota

Registered Investment Advisory firm - (6/24/2015 Terminated)

North Dakota

Registered Investment Advisory firm - (6/24/2015 Terminated)

South Dakota

Registered Investment Advisory firm - (6/24/2015 Terminated)

Texas

Registered Investment Advisory firm - (6/24/2015 Terminated)

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Arkansas
(6/16/2025)

Colorado
(12/15/2017)

Idaho
(12/8/2017)

Michigan
(12/8/2017)

Minnesota
(12/12/2017)

IAR

Minnesota
(2/2/2018)

Montana
(12/8/2017)

Ohio
(12/8/2017)

South Dakota
(12/12/2017)

Tennessee
(9/26/2019)

Wisconsin
(12/8/2017)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/20/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/1/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/7/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/24/2002

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

VANTAGE POINT WEALTH MANAGEMENT

CRD#: 167886 / SEC#: 801-99343

RIA

Registered Investment Advisory firm - (6/3/2015 Approved)

Iowa

Registered Investment Advisory firm - (6/30/2015 Terminated)

Minnesota

Registered Investment Advisory firm - (6/24/2015 Terminated)

North Dakota

Registered Investment Advisory firm - (6/24/2015 Terminated)

South Dakota

Registered Investment Advisory firm - (6/24/2015 Terminated)

Texas

Registered Investment Advisory firm - (6/24/2015 Terminated)

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Contact information

Main Address

505 North Highway 169 Suite 260, Plymouth, MN 55441

Mailing Address

Phone number

(763) 587-7120

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (20 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP FEE BROCHURE - VPWM ADVISORS (3/14/2025)

ADV PART 2A (3/14/2025)

Regulatory assets under management

Total Number of Accounts	1,361
AUM (Assets Under Management)	$ 277,355,003

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Firm Stability Insights

Jon R. Otterness

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jon Richard Otterness's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

EDWARD JONES

PARKLAND SECURITIES, LLC

Primary Firm SEC Registration

VANTAGE POINT WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 12/20/2006

Series 63

Date: 11/1/2002

SIE

Date: 10/1/2018

Series 7

Date: 11/7/2006

Series 6

Date: 9/24/2002

FINRA

Current Firm

VANTAGE POINT WEALTH MANAGEMENT

Contact information

SEC notice filing (20 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VANTAGE POINT WEALTH MANAGEMENT

TRUST BUT VERIFY

Contact information

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