JF
Jay Friedt
CETERA INVESTMENT ADVISERS LLC
HALLOCK, MN 56728
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CRD#: 7011010
JF
Professional summary
Jay Friedt, who also goes by Jay A Friedt, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Hallock, Minnesota and CETERA WEALTH SERVICES, LLC located in Hallock, Minnesota.
Jay is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Jay has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jay A Friedt
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.
(dba) SOBOLIK FINANCIAL GROUP; Investment Related; 225 East Broadway, Hallock MN 56728; Financial Services; Financial Adviser; Start Date 01/2022; 60 hours per month; Sobolik Financial Group is an Insurance Agency that sells life insurance, disability insurance, business overhead insurance and fixed annuity products. >> DAHL, HATTON, MUIR & REESE LTD; Non-Investment Related; 217 S Birch St, Hallock, MN 56728; Accounting; Owner/Partner; Start Date 11/2021; 160 hours per month; Serve as Owner/Partner of accounting firm with other CPAs. >> SPECTRA HEALTH; Non-Investment Related; 212 S 4th Street, Ste 200, Grand Forks, ND 58201; Other; Board Member; Start Date 11/2015; 4 hours per month; Serve as board of director for Spectra Health, a community health center. >> ST PATRICKS CHURCH; Non-Investment Related; 170 5th St S, Hallock, MN 56728; Church; Finance Council; Start Date 07/2021; 1/2 hour per month; Review quarterly financials for the church. >> SF PROPERTIES LLC; Non-Investment Related; 695 N Douglas Avenue, Hallock, MN 56728; Real Estate; Member Manager; Start Date 11/2022; 2 hours per month; Entity set up to purchase real estate.
CRS (Client Relationship Summary) - RIA
Click below to view Jay Friedt'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
February 20, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 225 East Broadway, Hallock, MN 56728RIA
CRD#: 105644
HALLOCK, MN
Current
February 20, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 225 East Broadway, Hallock, MN 56728BD
CRD#: 13572
Hallock, MN
Past
January 3, 2022 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
Hallock, MN
Past
January 3, 2022 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
Hallock, MN
Past
January 25, 2019 - December 8, 2021
LPL FINANCIAL LLC
RIA
CRD#: 6413
HALLOCK, MN
Past
December 19, 2018 - December 8, 2021
LPL FINANCIAL LLC
BD
CRD#: 6413
HALLOCK, 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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.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
Minnesota(2/20/2025)
IAR
Minnesota(2/20/2025)
RR
North Dakota(2/20/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/19/2018
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
