DB
Dominic S. Boggio
GRADIENT INVESTMENTS
Arden Hills, MN 55126
Some features on this profile are disabled
CRD#: 6756365
DB
Professional summary
Dominic Schultz Boggio is a registered financial advisor currently at GRADIENT INVESTMENTS, LLC located in Arden Hills, Minnesota and GRADIENT SECURITIES, LLC located in Arden Hills, Minnesota.
Dominic is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Dominic has worked at 8 firms and has passed the Series 66, Series 7TO and SIE 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.
CRS (Client Relationship Summary) - RIA
Click below to view Dominic Schultz Boggio'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
March 3, 2025 - Present
GRADIENT INVESTMENTS, LLC
Office #1: 4105 Lexington Avenue North Suite 250, Arden Hills, MN 55126RIA
CRD#: 141726
Arden Hills, MN
Current
March 4, 2026 - Present
GRADIENT SECURITIES, LLC
Office #1: 4105 Lexington Avenue Suite 380, Arden Hills, MN 55126RIA
BD
CRD#: 127701
Arden Hills, MN
Past
November 13, 2024 - December 23, 2024
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
MINNEAPOLIS, MN
Past
November 13, 2024 - December 23, 2024
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
MINNEAPOLIS, MN
Past
February 13, 2024 - October 22, 2024
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
Edina, MN
Past
February 7, 2024 - October 22, 2024
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
Edina, MN
Past
September 5, 2023 - December 22, 2023
MORGAN STANLEY
RIA
CRD#: 149777
BLOOMINGTON, MN
Past
January 11, 2023 - December 22, 2023
MORGAN STANLEY
BD
CRD#: 149777
BLOOMINGTON, MN
Past
March 9, 2022 - September 5, 2023
HARRISDIRECT LLC
RIA
CRD#: 42159
BLOOMINGTON, MN
Past
March 9, 2022 - September 5, 2023
E*TRADE SECURITIES LLC
BD
CRD#: 29106
BLOOMINGTON, MN
Past
December 14, 2019 - February 9, 2022
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
MINNEAPOLIS, MN
Past
September 7, 2019 - February 9, 2022
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
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".
GI
GRADIENT INVESTMENTS, LLC
GRADIENT INVESTMENT GROUP LLC | REGISTERED INDEPENDENT ADVISORS, LLC | REGISTERED INDEPENDENT AGENTS, LLC | GRADIENT INVESTMENTS, LLC
CRD#: 141726 / SEC#: 801-70812
RIA
Registered Investment Advisory firm - (12/1/2009 Approved)Alabama
Registered Investment Advisory firm - (1/20/2010 Terminated)Arizona
Registered Investment Advisory firm - (12/8/2009 Terminated)California
Registered Investment Advisory firm - (12/9/2009 Terminated)Colorado
Registered Investment Advisory firm - (12/10/2009 Terminated)Florida
Registered Investment Advisory firm - (12/8/2009 Terminated)Idaho
Registered Investment Advisory firm - (12/8/2009 Terminated)Kansas
Registered Investment Advisory firm - (12/8/2009 Terminated)Maryland
Registered Investment Advisory firm - (12/21/2009 Terminated)Minnesota
Registered Investment Advisory firm - (12/8/2009 Terminated)Missouri
Registered Investment Advisory firm - (12/8/2009 Terminated)Nevada
Registered Investment Advisory firm - (12/31/2009 Terminated)New Jersey
Registered Investment Advisory firm - (12/8/2009 Terminated)New York
Registered Investment Advisory firm - (11/19/2009 Cancelled)North Carolina
Registered Investment Advisory firm - (12/8/2009 Terminated)Ohio
Registered Investment Advisory firm - (12/8/2009 Terminated)Pennsylvania
Registered Investment Advisory firm - (12/10/2009 Terminated)South Carolina
Registered Investment Advisory firm - (12/8/2009 Terminated)Tennessee
Registered Investment Advisory firm - (12/23/2009 Terminated)Texas
Registered Investment Advisory firm - (12/8/2009 Terminated)Virginia
Registered Investment Advisory firm - (12/9/2009 Terminated)Wisconsin
Registered Investment Advisory firm - (12/8/2009 Terminated)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
IAR
Minnesota(3/3/2025)
RR
Minnesota(3/4/2026)
IAR
Texas(3/3/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/7/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
GI
GRADIENT INVESTMENTS, LLC
GRADIENT INVESTMENT GROUP LLC | REGISTERED INDEPENDENT ADVISORS, LLC | REGISTERED INDEPENDENT AGENTS, LLC | GRADIENT INVESTMENTS, LLC
CRD#: 141726 / SEC#: 801-70812
RIA
Registered Investment Advisory firm - (12/1/2009 Approved)Alabama
Registered Investment Advisory firm - (1/20/2010 Terminated)Arizona
Registered Investment Advisory firm - (12/8/2009 Terminated)California
Registered Investment Advisory firm - (12/9/2009 Terminated)Colorado
Registered Investment Advisory firm - (12/10/2009 Terminated)Florida
Registered Investment Advisory firm - (12/8/2009 Terminated)Idaho
Registered Investment Advisory firm - (12/8/2009 Terminated)Kansas
Registered Investment Advisory firm - (12/8/2009 Terminated)Maryland
Registered Investment Advisory firm - (12/21/2009 Terminated)Minnesota
Registered Investment Advisory firm - (12/8/2009 Terminated)Missouri
Registered Investment Advisory firm - (12/8/2009 Terminated)Nevada
Registered Investment Advisory firm - (12/31/2009 Terminated)New Jersey
Registered Investment Advisory firm - (12/8/2009 Terminated)New York
Registered Investment Advisory firm - (11/19/2009 Cancelled)North Carolina
Registered Investment Advisory firm - (12/8/2009 Terminated)Ohio
Registered Investment Advisory firm - (12/8/2009 Terminated)Pennsylvania
Registered Investment Advisory firm - (12/10/2009 Terminated)South Carolina
Registered Investment Advisory firm - (12/8/2009 Terminated)Tennessee
Registered Investment Advisory firm - (12/23/2009 Terminated)Texas
Registered Investment Advisory firm - (12/8/2009 Terminated)Virginia
Registered Investment Advisory firm - (12/9/2009 Terminated)Wisconsin
Registered Investment Advisory firm - (12/8/2009 Terminated)PREMIUM
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Contact information
Main Address
4105 Lexington Avenue North Suite 250, Arden Hills, MN 55126
Mailing Address
Phone number
(888) 824-3525
Established
Firm type
Fiscal year end
# of Employees
41
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 77,311 |
| AUM (Assets Under Management) | $ 8,201,136,002 |
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.
