Craig E. Dock

VERMILLION WEALTH MANAGEMENT

Rosemount, MN 55068

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CRD#: 5053583

Professional summary

Craig Edward Dock, CFP® is a registered financial advisor currently at VERMILLION WEALTH MANAGEMENT INC. located in Rosemount, Minnesota.

Craig is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Craig has worked at 5 firms and has passed the Series 66, Series 7TO, SIE, Series 7 and Series 24 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 Craig Edward Dock'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®

CFP^®

Certified Financial Planner

Start date: 2019

Experience

Current

September 5, 2019 - Present

VERMILLION WEALTH MANAGEMENT INC.

Office #1: 15040 Canada Ave. W, Rosemount, MN 55068

RIA

CRD#: 281978

Rosemount, MN

Past

September 1, 2017 - September 1, 2021

SECURITIES AMERICA, INC.

CRD#: 10205

ROSEMOUNT, MN

Past

December 13, 2016 - September 1, 2017

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

INVER GROVE HEIGHTS, MN

Past

November 10, 2016 - December 13, 2016

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

INVER GROVE HEIGHTS, MN

Past

October 16, 2006 - May 5, 2016

SCOTTRADE, INC.

CRD#: 8206

LA JOLLA, CA

Past

November 10, 2005 - October 5, 2006

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

BLOOMINGTON, 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".

VERMILLION WEALTH MANAGEMENT INC.

CRD#: 281978 / SEC#: 801-107450

RIA

Registered Investment Advisory firm - (3/21/2016 Approved)

Minnesota

Registered Investment Advisory firm - (3/24/2016 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.

Highlighted states indicate IAR registrations

IAR

Minnesota
(9/5/2019)

IAR

Texas
(6/5/2025)

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

IAR

Series 66

Date: 12/1/2005

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/22/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/9/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/22/2024

General Securities Principal Examination

Current Firm

VERMILLION WEALTH MANAGEMENT INC.

CRD#: 281978 / SEC#: 801-107450

RIA

Registered Investment Advisory firm - (3/21/2016 Approved)

Minnesota

Registered Investment Advisory firm - (3/24/2016 Terminated)

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Contact information

Main Address

15040 Canada Ave. W, Rosemount, MN 55068

Mailing Address

Phone number

(651) 480-4601

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV2A AND 2B (8/22/2025)

ADV2A APPENDIX 1 AND 2B (1/30/2025)

Regulatory assets under management

Total Number of Accounts	1,423
AUM (Assets Under Management)	$ 364,047,827

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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Craig E. Dock

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Craig Edward Dock's CRS (Customer Relationship Summary).

Certified licenses

Experience

SECURITIES AMERICA, INC.

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

SCOTTRADE, INC.

THRIVENT INVESTMENT MANAGEMENT INC.

Primary Firm SEC Registration

VERMILLION WEALTH MANAGEMENT INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/1/2005

Series 7TO

Date: 3/22/2024

SIE

Date: 10/1/2018

Series 7

Date: 11/9/2005

Series 24

Date: 3/22/2024

Current Firm

VERMILLION WEALTH MANAGEMENT INC.

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VERMILLION WEALTH MANAGEMENT INC.

TRUST BUT VERIFY

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