Nicholas R. Asmus

BERGER FINANCIAL GROUP

Plymouth, MN 55441

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CRD#: 4658905

Professional summary

Nicholas Robert Asmus is a registered financial advisor currently at BERGER FINANCIAL GROUP located in Plymouth, Minnesota.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Nicholas has worked at 8 firms and has passed the Series 63, Series 66, Series 55 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Robert Asmus'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

July 31, 2020 - Present

BERGER FINANCIAL GROUP

Office #1: 1695 State Hwy 169, Plymouth, MN 55441

RIA

CRD#: 308174

Plymouth, MN

Past

February 11, 2016 - August 28, 2020

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Plymouth, MN

Past

January 31, 2014 - July 19, 2016

WADE FINANCIAL GROUP INC

RIA

CRD#: 109667

MINNEAPOLIS, MN

Past

August 18, 2010 - June 17, 2011

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ST. CLOUD, MN

Past

August 18, 2010 - June 17, 2011

CETERA ADVISORS LLC

CRD#: 10299

SAINT CLOUD, MN

Past

August 18, 2010 - June 17, 2011

CETERA WEALTH SERVICES, LLC

CRD#: 13572

SAINT CLOUD, MN

Past

April 8, 2009 - June 8, 2010

ECHOTRADE LLC

CRD#: 42239

PHOENIX, AZ

Past

April 14, 2008 - January 6, 2009

FIS BROKERAGE & SECURITIES SERVICES LLC

CRD#: 104162

BOLINGBROOK, IL

Past

March 7, 2007 - September 24, 2007

ECHOTRADE LLC

CRD#: 42239

PHOENIX, AZ

Past

January 26, 2006 - February 13, 2007

FIS BROKERAGE & SECURITIES SERVICES LLC

CRD#: 104162

SCOTTSDALE, AZ

Past

August 26, 2004 - December 31, 2005

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

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".

BERGER FINANCIAL GROUP

CRD#: 308174 / SEC#: 801-118923

RIA

Registered Investment Advisory firm - (6/16/2020 Approved)

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
(7/31/2020)

IAR

Texas
(7/31/2020)

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: 8/23/2010

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 2/10/2005

Uniform Combined State Law Examination

General Industry/Product Exam

Series 55

Date: 10/7/2010

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 8/25/2004

General Securities Representative Examination

Current Firm

BERGER FINANCIAL GROUP

CRD#: 308174 / SEC#: 801-118923

RIA

Registered Investment Advisory firm - (6/16/2020 Approved)

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Contact information

Main Address

1695 State Hwy 169, Plymouth, MN 55441

Mailing Address

Phone number

(763) 746-2666

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (41 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BERGER FINANCIAL GROUP ADV PART 2A 2024 (2/20/2025)

Regulatory assets under management

Total Number of Accounts	10,333
AUM (Assets Under Management)	$ 2,500,753,183

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.

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Advisor Monitoring

Firm Stability Insights

Nicholas R. Asmus

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Robert Asmus's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

WADE FINANCIAL GROUP INC

CETERA INVESTMENT SERVICES LLC

CETERA ADVISORS LLC

CETERA WEALTH SERVICES, LLC

ECHOTRADE LLC

FIS BROKERAGE & SECURITIES SERVICES LLC

ECHOTRADE LLC

FIS BROKERAGE & SECURITIES SERVICES LLC

CETERA WEALTH SERVICES, LLC

Primary Firm SEC Registration

BERGER FINANCIAL GROUP

State Registrations and Notice Filings

Exams

Series 63

Date: 8/23/2010

Series 66

Date: 2/10/2005

Series 55

Date: 10/7/2010

Series 7

Date: 8/25/2004

Current Firm

BERGER FINANCIAL GROUP

Contact information

SEC notice filing (41 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BERGER FINANCIAL GROUP

TRUST BUT VERIFY

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