Carl J. Arrell
FOCUS FINANCIAL
MINNEAPOLIS, MN 55401
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CRD#: 4700446
Professional summary
Carl James Arrell, CFP® is a registered financial advisor currently at FOCUS FINANCIAL located in Minneapolis, Minnesota.
Carl is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Carl has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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.
1. CARL J. ARRELL POSITION: Insurance Advisor NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/14/2014 ADDRESS: 401 N. 3rd Street, 210, Minneapolis MN 55401, United States DESCRIPTION: Provide Group Benefits to Companies: Employer/Employee Education and Insurance options to potential clients (group life, health, accident, & disability insurance sales) 2. CARL J. ARRELL POSITION: Tax Consultant NATURE: Sole Proprietorship INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 02/12/2018 ADDRESS: 401 N 3rd Street, Suite 210, Minneapolis MN 55401, United States DESCRIPTION: Tax Consulting and Preparation 3. WEALTHFUL, LLC POSITION: Owner NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2018 ADDRESS: 401 N 3rd Street, Suite 210, Minneapolis MN 55401, United States DESCRIPTION: Business Owner. 4. CARL J. ARRELL POSITION: Insurance Advisor NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/02/2014 ADDRESS: 401 N. 3rd Street, 210, Minneapolis MN 55401, United States DESCRIPTION: Provide Education and Group Insurance Benefit Solutions for Clients (Group Benefits - Group Term Life, Group Disability, Group Dental Sales & Service) 5. FOCUS FINANCIAL POSITION: Financial Advisor NATURE: Registered Investment Adviser INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 140 START DATE: 01/31/2010 ADDRESS: 401 N 3rd Street, Suite 210, Minneapolis MN 55401, United States DESCRIPTION: manage and monitor investment assets for clients 6. FOCUS FINANCIAL POSITION: Insurance Agent NATURE: Insurance Agency INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/31/2012 ADDRESS: 401 N. 3rd Street, Suite 210, Minneapolis MN 55401, United States DESCRIPTION: Sale & Service of Fixed Insurance Products 7. 401 GROUP TAX CONSULTING POSITION: Tax Consultant NATURE: Sole Proprietorship INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 0 START DATE: 10/02/2017 ADDRESS: 401 N. 3rd Street, Suite 210, Minneapolis MN 55419, United States DESCRIPTION: Provide Tax Consulting, Planning, Preparation & Accounting Services to Clients. 8. 401 GROUP, LLC POSITION: Managing Member NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2021 ADDRESS: 401 N 3rd Street, Suite 210, Minneapolis MN 55401, United States DESCRIPTION: Accounting for monthly income and expenses
CRS (Client Relationship Summary) - RIA
Click below to view Carl James Arrell'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®
CFP®
Start date: 2010
Experience
Current
March 13, 2012 - Present
FOCUS FINANCIAL
Office #1: 401 N 3rd Street Suite 210, Minneapolis, MN 55401RIA
CRD#: 116140
MINNEAPOLIS, MN
Past
January 31, 2012 - December 13, 2024
OSAIC WEALTH, INC.
BD
CRD#: 23131
MINNEAPOLIS, MN
Past
May 29, 2008 - February 2, 2012
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
EDINA, MN
Past
May 29, 2008 - February 2, 2012
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
EDINA, MN
Past
November 21, 2006 - May 28, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
EDINA, MN
Past
August 17, 2005 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
June 24, 2005 - May 28, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
EDINA, MN
Past
November 3, 2004 - April 27, 2005
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
November 3, 2004 - April 27, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, 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".
FOCUS FINANCIAL
AFC FINANCIAL ADVISORY GROUP | MOSER & HEIER FINANCIAL SOLUTIONS | MERTZ WEALTH STRATEGIES | KMF ADVISORS | FOCUS FINANCIAL NETWORK, INC. | FOCUS FINANCIAL | FDI INCORPORATED/FINANCIAL DESIGNS | BROOKLANDS
CRD#: 116140 / SEC#: 801-71117
RIA
Registered Investment Advisory firm - (3/2/2010 Approved)Arizona
Registered Investment Advisory firm - (3/5/2010 Terminated)California
Registered Investment Advisory firm - (3/8/2010 Terminated)Colorado
Registered Investment Advisory firm - (3/12/2010 Terminated)Florida
Registered Investment Advisory firm - (3/5/2010 Terminated)Georgia
Registered Investment Advisory firm - (3/5/2010 Terminated)Illinois
Registered Investment Advisory firm - (3/2/2010 Terminated)Indiana
Registered Investment Advisory firm - (3/9/2010 Terminated)Iowa
Registered Investment Advisory firm - (3/5/2010 Terminated)Massachusetts
Registered Investment Advisory firm - (3/24/2010 Terminated)Minnesota
Registered Investment Advisory firm - (3/8/2010 Terminated)Missouri
Registered Investment Advisory firm - (3/5/2010 Terminated)Nebraska
Registered Investment Advisory firm - (3/12/2010 Terminated)New Jersey
Registered Investment Advisory firm - (3/5/2010 Terminated)New York
Registered Investment Advisory firm - (3/5/2010 Terminated)North Carolina
Registered Investment Advisory firm - (3/5/2010 Terminated)North Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)Ohio
Registered Investment Advisory firm - (3/5/2010 Terminated)Oregon
Registered Investment Advisory firm - (3/5/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (3/31/2010 Terminated)South Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)Texas
Registered Investment Advisory firm - (3/5/2010 Terminated)Washington
Registered Investment Advisory firm - (3/5/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (3/5/2010 Terminated)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(12/9/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
FOCUS FINANCIAL
AFC FINANCIAL ADVISORY GROUP | MOSER & HEIER FINANCIAL SOLUTIONS | MERTZ WEALTH STRATEGIES | KMF ADVISORS | FOCUS FINANCIAL NETWORK, INC. | FOCUS FINANCIAL | FDI INCORPORATED/FINANCIAL DESIGNS | BROOKLANDS
CRD#: 116140 / SEC#: 801-71117
RIA
Registered Investment Advisory firm - (3/2/2010 Approved)Arizona
Registered Investment Advisory firm - (3/5/2010 Terminated)California
Registered Investment Advisory firm - (3/8/2010 Terminated)Colorado
Registered Investment Advisory firm - (3/12/2010 Terminated)Florida
Registered Investment Advisory firm - (3/5/2010 Terminated)Georgia
Registered Investment Advisory firm - (3/5/2010 Terminated)Illinois
Registered Investment Advisory firm - (3/2/2010 Terminated)Indiana
Registered Investment Advisory firm - (3/9/2010 Terminated)Iowa
Registered Investment Advisory firm - (3/5/2010 Terminated)Massachusetts
Registered Investment Advisory firm - (3/24/2010 Terminated)Minnesota
Registered Investment Advisory firm - (3/8/2010 Terminated)Missouri
Registered Investment Advisory firm - (3/5/2010 Terminated)Nebraska
Registered Investment Advisory firm - (3/12/2010 Terminated)New Jersey
Registered Investment Advisory firm - (3/5/2010 Terminated)New York
Registered Investment Advisory firm - (3/5/2010 Terminated)North Carolina
Registered Investment Advisory firm - (3/5/2010 Terminated)North Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)Ohio
Registered Investment Advisory firm - (3/5/2010 Terminated)Oregon
Registered Investment Advisory firm - (3/5/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (3/31/2010 Terminated)South Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)Texas
Registered Investment Advisory firm - (3/5/2010 Terminated)Washington
Registered Investment Advisory firm - (3/5/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (3/5/2010 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1300 Godward Street Ne Suite 5500, Minneapolis, MN 55413
Mailing Address
Phone number
(651) 631-8166
Established
Firm type
Fiscal year end
# of Employees
172
SEC notice filing (46 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 26,057 |
| AUM (Assets Under Management) | $ 6,262,663,508 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/16/2025 |
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.
