Joel D. Baumgarten

PINE GROVE FINANCIAL GROUP

WOODBURY, MN 55125

Some features on this profile are disabled

CRD#: 5462331

Professional summary

Joel Dean Baumgarten, CFP® is a registered financial advisor currently at PINE GROVE FINANCIAL GROUP located in Woodbury, Minnesota.

Joel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Joel has worked at 5 firms and has passed the Series 66, SIE 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 Joel Dean Baumgarten'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: 2017

Experience

Current

February 3, 2022 - Present

PINE GROVE FINANCIAL GROUP

Office #1: 796 Bielenberg Dr. Suite 103, Woodbury, MN 55125

RIA

CRD#: 308193

WOODBURY, MN

Past

July 13, 2018 - January 30, 2022

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

BOSTON, MA

Past

November 6, 2013 - July 13, 2018

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

OAKDALE, MN

Past

October 15, 2013 - January 28, 2022

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

OAKDALE, MN

Past

May 5, 2011 - August 28, 2013

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

MINNEAPOLIS, MN

Past

February 15, 2008 - August 28, 2013

AMERIPRISE FINANCIAL SERVICES, LLC

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".

PINE GROVE FINANCIAL GROUP

GRAY PINES WEALTH MANAGEMENT | PINE GROVE FINANCIAL GROUP | MLG WEALTH MANAGEMENT, INC. | KADENCE WEALTH

CRD#: 308193 / SEC#: 801-118868

RIA

Registered Investment Advisory firm - (6/5/2020 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
(2/3/2022)

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: 3/12/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/13/2008

General Securities Representative Examination

Current Firm

PINE GROVE FINANCIAL GROUP

GRAY PINES WEALTH MANAGEMENT | PINE GROVE FINANCIAL GROUP | MLG WEALTH MANAGEMENT, INC. | KADENCE WEALTH

CRD#: 308193 / SEC#: 801-118868

RIA

Registered Investment Advisory firm - (6/5/2020 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

796 Bielenberg Dr. Suite 103, Woodbury, MN 55125

Mailing Address

Phone number

(651) 714-0323

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PINE GROVE FINANCIAL GROUP ADV PART 2A (2/12/2025)

Regulatory assets under management

Total Number of Accounts	4,081
AUM (Assets Under Management)	$ 1,247,926,037

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.

Similar Advisors

Chad Rusten

ELEMENT SQUARED PRIVATE WEALTH

IAR

Minneapolis, MN

Brian Niemann

LPL FINANCIAL LLC

IAR

STILLWATER, MN

Janai Deitt

THRIVENT INVESTMENT MANAGEMENT INC.

IAR

McKinney, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Joel D. Baumgarten

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joel Dean Baumgarten's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIDELITY PERSONAL AND WORKPLACE ADVISORS

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

PINE GROVE FINANCIAL GROUP

State Registrations and Notice Filings

Exams

Series 66

Date: 3/12/2008

SIE

Date: 10/1/2018

Series 7

Date: 2/13/2008

Current Firm

PINE GROVE FINANCIAL GROUP

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PINE GROVE FINANCIAL GROUP

TRUST BUT VERIFY

Similar Advisors