BU
Brandon L. Ulmer
GRADIENT SECURITIES
Arden Hills, MN 55126
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CRD#: 6476334
BU
Professional summary
Brandon Lee Ulmer is a registered financial advisor currently at GRADIENT SECURITIES, LLC located in Arden Hills, Minnesota and GRADIENT ADVISORS, LLC located in Arden Hills, Minnesota.
Brandon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Brandon has worked at 4 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.
1). MINNESOTA PUBLIC NOTARY; NOT INV RELATED; VARIOUS LOCATIONS; PUBLIC NOTARY; START 10/2022; 0 HRS PER MONTH; 0 HRS DURING SECURITIES TRADING HOURS; NOTARIZES DOCUMENTS AS NEEDED OR REQUESTED.
CRS (Client Relationship Summary) - RIA
Click below to view Brandon Lee Ulmer's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brandon Lee Ulmer'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®
NoneExperience
Current
August 5, 2024 - Present
GRADIENT SECURITIES, LLC
Office #1: 4105 Lexington Avenue N Suite 380, Arden Hills, MN 55126Office #2: 4105 Lexington Avenue N Suite 380, Arden Hills, MN 55126RIA
BD
CRD#: 127701
Arden Hills, MN
Current
December 3, 2024 - Present
GRADIENT ADVISORS, LLC
Office #1: 4105 Lexington Avenue N. Suite 225, Arden Hills, MN 55126RIA
CRD#: 152665
Arden Hills, MN
Current
August 5, 2024 - Present
GRADIENT SECURITIES, LLC
Office #1: 4105 Lexington Avenue N Suite 380, Arden Hills, MN 55126Office #2: 4105 Lexington Avenue Suite 380, Arden Hills, MN 55126RIA
BD
CRD#: 127701
Arden Hills, MN
Past
June 1, 2022 - July 22, 2024
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
NEW BRIGHTON, MN
Past
June 1, 2022 - July 22, 2024
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
NEW BRIGHTON, MN
Past
April 16, 2018 - June 3, 2022
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
MINNEAPOLIS, MN
Past
December 21, 2015 - June 3, 2022
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
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".
GS
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)BD
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.RR
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
RR
Alabama(10/17/2024)
IAR
Alabama(10/17/2024)
RR
Arizona(2/14/2025)
RR
Arkansas(10/1/2024)
IAR
Arkansas(10/1/2024)
RR
California(10/31/2024)
IAR
California(3/31/2025)
RR
Colorado(6/5/2025)
IAR
Colorado(6/5/2025)
RR
Florida(11/11/2024)
IAR
Florida(11/12/2024)
RR
Georgia(1/31/2025)
IAR
Georgia(5/9/2025)
RR
Idaho(11/3/2025)
RR
Illinois(9/18/2024)
IAR
Illinois(9/18/2024)
RR
Iowa(9/18/2024)
IAR
Iowa(9/18/2024)
RR
Louisiana(9/23/2025)
IAR
Louisiana(9/23/2025)
RR
Massachusetts(3/13/2025)
RR
Michigan(8/15/2025)
IAR
Michigan(8/15/2025)
RR
Minnesota(8/5/2024)
IAR
Minnesota(8/5/2024)
RR
Nebraska(6/26/2025)
RR
New York(10/9/2025)
IAR
New York(10/9/2025)
RR
North Carolina(7/15/2025)
RR
Oregon(11/22/2024)
IAR
Oregon(10/13/2025)
RR
South Carolina(2/13/2025)
RR
South Dakota(8/22/2025)
RR
Texas(11/4/2024)
RR
Washington(12/17/2024)
IAR
Washington(12/17/2024)
RR
Wisconsin(9/18/2024)
IAR
Wisconsin(9/18/2024)
RR
Wyoming(2/28/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
GS
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)BD
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
62
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 7,322 |
| AUM (Assets Under Management) | $ 591,069,287 |
Disclosures
| Regulatory Event | 1 |
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.
