Toby A. Thacker

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CRD#: 5251158

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Toby Alan Thacker, who also goes by Toby Thacker, was a registered financial professional .

Toby is a previously registered financial professional and started their career in finance in 2007. Toby had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Toby Thacker

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 15, 2014 - November 25, 2014

ADVANCED ADVISOR GROUP, LLC

RIA

CRD#: 140393

CAMBRIDGE, MN

Past

January 15, 2014 - November 30, 2015

EFS ADVISORS

RIA

CRD#: 115211

CAMBRIDGE, MN

Past

March 26, 2013 - November 25, 2014

ADVANCED ADVISOR GROUP, LLC

CRD#: 140393

CAMBRIDGE, MN

Past

May 7, 2008 - February 11, 2013

ADVANCED ADVISOR GROUP, LLC

CRD#: 140393

CAMBRIDGE, MN

Past

September 7, 2007 - January 3, 2008

EDWARD JONES

RIA

CRD#: 250

ELK RIVER, MN

Past

January 8, 2007 - January 3, 2008

EDWARD JONES

CRD#: 250

ELK RIVER, 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".

ADVANCED ADVISOR GROUP, LLC

ADVANCED ADVISOR GROUP, LLC | EFS ADVISORS, LLC | EFS ADVISORS

CRD#: 140393 / SEC#: 801-118465, 8-67313

RIA

Registered Investment Advisory firm - SEC (4/17/2020 Approved)

Iowa

Registered Investment Advisory firm - SEC (6/29/2021 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (8/10/2021 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (6/29/2021 Terminated)

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

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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 1/19/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 11/25/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/6/2007

General Securities Representative Examination

Current Firm

ADVANCED ADVISOR GROUP, LLC

ADVANCED ADVISOR GROUP, LLC | EFS ADVISORS, LLC | EFS ADVISORS

CRD#: 140393 / SEC#: 801-118465, 8-67313

RIA

Registered Investment Advisory firm - SEC (4/17/2020 Approved)

Iowa

Registered Investment Advisory firm - SEC (6/29/2021 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (8/10/2021 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (6/29/2021 Terminated)

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

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Contact information

Main Address

1995 East Rum River Drive S., Cambridge, MN 55008

Mailing Address

1995 East Rum River Drive S., Cambridge, MN 55008

Phone number

(763) 689-9023

Established

Minnesota since 09/29/2005

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (3 States and Territories)

FINRA licenses (47 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

AAG ADV PART 2 BROCHURE (3/11/2025)

Direct owners and executive officers

Name	Position	CRD#
SCHUTTE, KENT DONALD	PRESIDENT	1432361
FULLER, DOROTHY SUSAN	EXECUTIVE REP. FINOP	4496954
KILLIAN, ELLIE JO	CHIEF COMPLIANCE OFFICER	6364589

Regulatory assets under management

Total Number of Accounts	105
AUM (Assets Under Management)	$ 13,497,240

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

Toby A. Thacker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

EFS ADVISORS

ADVANCED ADVISOR GROUP, LLC

ADVANCED ADVISOR GROUP, LLC

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

ADVANCED ADVISOR GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/19/2007

SIE

Date: 11/25/2014

Series 7

Date: 1/6/2007

Current Firm

ADVANCED ADVISOR GROUP, LLC

Contact information

SEC notice filing (3 States and Territories)

FINRA licenses (47 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

ADVANCED ADVISOR GROUP, LLC

TRUST BUT VERIFY

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