Timothy A. Rosga

GRADIENT SECURITIES

Cottage Grove, MN

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CRD#: 5179568

Professional summary

Timothy Alan Rosga is a registered financial advisor currently at GRADIENT SECURITIES, LLC located in Cottage Grove, Minnesota.

Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Timothy has worked at 7 firms and has passed the Series 65, 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. NOHNER ROSGA FINANCIAL; INV RELATED; 7995 JENNER AVE S, COTTAGE GROVE, MN 55016; INSURANCE AGENT; START 08/01/2006; 80 HOURS PER MONTH; 80 HOURS DURING SECURITIES TRADING HOURS; PROVIDES FINANCIAL CONSULTING, IUL SALES, WHOLE LIFE SALES, FIXED ANNUITY SALES, & TERM LIFE SALES. 2. TIM ROSGA FINANCIAL SERVICES; INV RELATED; 1925 DODD RD, MENDOTA HEIGHTS, MN 55118; OWNER; START 03/10/2010; 0 HOURS PER MONTH; 0 HOURS DURING SECURITIES TRADING HOURS; LLC SERVES AS A PASS THROUGH FOR FINANCIAL BOOKKEEPING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Alan Rosga's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Timothy Alan Rosga'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

October 22, 2024 - Present

GRADIENT SECURITIES, LLC

RIA

CRD#: 127701

Cottage Grove, MN

Current

October 22, 2024 - Present

GRADIENT SECURITIES, LLC

RIA

CRD#: 127701

Cottage Grove, MN

Past

September 1, 2023 - November 1, 2024

OSAIC WEALTH, INC.

RIA

CRD#: 23131

COTTAGE GROVE, MN

Past

September 1, 2023 - November 1, 2024

OSAIC WEALTH, INC.

CRD#: 23131

COTTAGE GROVE, MN

Past

November 21, 2018 - September 1, 2023

OSAIC SERVICES, INC.

RIA

CRD#: 133763

OAKDALE, MN

Past

November 21, 2018 - September 1, 2023

OSAIC SERVICES, INC.

CRD#: 133763

OAKDALE, MN

Past

November 1, 2016 - November 20, 2018

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

ST. PAUL, MN

Past

November 1, 2016 - November 20, 2018

RBC CAPITAL MARKETS, LLC

CRD#: 31194

ST. PAUL, MN

Past

December 18, 2015 - January 20, 2017

ACCESS FINANCIAL SERVICES, INC.

RIA

CRD#: 115361

MINNEAPOLIS, MN

Past

August 1, 2006 - July 27, 2007

COUNTRY TRUST BANK

RIA

CRD#: 109487

EDINA, MN

Past

July 11, 2006 - November 18, 2015

COUNTRY CAPITAL MANAGEMENT COMPANY

CRD#: 12060

EDINA, 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".

GRADIENT SECURITIES, LLC

GRADIENT SECURITIES, LLC | SYM CAPITAL SECURITIES, LLC | GRADIENT WEALTH MANAGEMENT

CRD#: 127701 / SEC#: 801-80807, 8-66032

RIA

Registered Investment Advisory firm - SEC (1/8/2015 Approved)

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.

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

Minnesota
(10/22/2024)

IAR

Minnesota
(10/22/2024)

Washington
(10/22/2024)

IAR

Washington
(11/4/2024)

Wisconsin
(10/22/2024)

IAR

Wisconsin
(10/22/2024)

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 65

Date: 7/31/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/13/2006

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: 12/16/2016

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/8/2006

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

GRADIENT SECURITIES, LLC

GRADIENT SECURITIES, LLC | SYM CAPITAL SECURITIES, LLC | GRADIENT WEALTH MANAGEMENT

CRD#: 127701 / SEC#: 801-80807, 8-66032

RIA

Registered Investment Advisory firm - SEC (1/8/2015 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

4105 Lexington Avenue Suite 380, Arden Hills, MN 55126

Mailing Address

4105 Lexington Avenue Suite 380, Arden Hills, MN 55126

Phone number

(866) 991-1539

Established

Delaware since 04/09/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

GWM ADV PART 2A & 2B (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
MERAKI PRIVATE EQUITY, LLC	OWNER
JOCHUM, JAMIE LEE	FINOP	4459768
LUCIUS, CHARLES EDWARD	OWNER MERAKI PRIVATE EQUITY, LLC	1012912
LUCIUS, TAMI JEAN	OWNER MERAKI PRIVATE EQUITY, LLC	2371362
NELSON, ROBERT SCOTT	PRESIDENT & ELECTED MANAGER	4237080
REMME, BRIAN ANDREW	CHIEF COMPLIANCE OFFICER	3103459

Regulatory assets under management

Total Number of Accounts	7,322
AUM (Assets Under Management)	$ 591,069,287

Disclosures

Regulatory Event

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

Timothy A. Rosga

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Alan Rosga's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Timothy Alan Rosga's CRS (Customer Relationship Summary).

Certified licenses

Experience

GRADIENT SECURITIES, LLC

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

ACCESS FINANCIAL SERVICES, INC.

COUNTRY TRUST BANK

COUNTRY CAPITAL MANAGEMENT COMPANY

Primary Firm SEC Registration

GRADIENT SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/31/2006

Series 63

Date: 7/13/2006

SIE

Date: 10/1/2018

Series 7

Date: 12/16/2016

Series 6

Date: 7/8/2006

FINRA

Current Firm

GRADIENT SECURITIES, LLC

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

GRADIENT SECURITIES, LLC

TRUST BUT VERIFY

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