BM
Brett J. Maloney
FOCUS FINANCIAL
Alexandria, MN 56308
Some features on this profile are disabled
CRD#: 7011768
BM
Professional summary
Brett Jerome Maloney is a registered financial advisor currently at FOCUS FINANCIAL located in Alexandria, Minnesota and OSAIC WEALTH, INC. located in Alexandria, Minnesota.
Brett is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Brett has worked at 2 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.
1) FOCUS FINANCIAL NETWORK INC. POSITION: Insurance Agent NATURE: Insurance Agency INVESTMENT RELATED: Yes NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 8 START DATE: 04/01/2021 ADDRESS: 307 N. Nokomis Street, Suite 112, Alexandria MN 56308, United States DESCRIPTION: Reviewing insurance products and client portfolios. Selling insurance products to clients. 2) FOCUS FINANCIAL NETWORK INC. POSITION: Financial Advisor NATURE: Registered Investment Advisor INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 04/01/2021 ADDRESS: 307 N. Nokomis Street, Suite 112, Alexandria MN 56308, United States DESCRIPTION: Reviewing clients financial portfolios. Conduct trading and re-balancing in client models. Recommending financial products and accounts. 3) MALONEY FINANCIAL LLC POSITION: Owner NATURE: LLC was established for tax purposes to pay myself a salary for securities related business. INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 03/10/2022 ADDRESS: 17320 25th Ave N, Plymouth MN 55447, United States DESCRIPTION: Established an LLC for tax purposes to pay myself a salary. Opened checking account.
CRS (Client Relationship Summary) - RIA
Click below to view Brett Jerome Maloney'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
June 12, 2019 - Present
FOCUS FINANCIAL
Office #1: 307 N. Nokomis Street Suite 112, Alexandria, MN 56308RIA
CRD#: 116140
Alexandria, MN
Current
February 25, 2019 - Present
OSAIC WEALTH, INC.
Office #1: 307 N. Nokomis St. #112, Alexandria, MN 56308Office #2: 1209 Pacific Avenue Suite 106, Benson, MN 56215Office #3: 1300 Godward St Ne Suite 5500, Minneapolis, MN 55413RIA
BD
CRD#: 23131
Alexandria, MN
Past
May 1, 2019 - June 11, 2019
OSAIC WEALTH, INC.
RIA
CRD#: 23131
SCOTTSDALE, AZ
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".
FOCUS FINANCIAL
AFC FINANCIAL ADVISORY GROUP | MOSER & HEIER FINANCIAL SOLUTIONS | MERTZ WEALTH STRATEGIES | KMF ADVISORS | FOCUS FINANCIAL NETWORK, INC. | FOCUS FINANCIAL | FDI INCORPORATED/FINANCIAL DESIGNS | BROOKLANDS
CRD#: 116140 / SEC#: 801-71117
RIA
Registered Investment Advisory firm - (3/2/2010 Approved)Arizona
Registered Investment Advisory firm - (3/5/2010 Terminated)California
Registered Investment Advisory firm - (3/8/2010 Terminated)Colorado
Registered Investment Advisory firm - (3/12/2010 Terminated)Florida
Registered Investment Advisory firm - (3/5/2010 Terminated)Georgia
Registered Investment Advisory firm - (3/5/2010 Terminated)Illinois
Registered Investment Advisory firm - (3/2/2010 Terminated)Indiana
Registered Investment Advisory firm - (3/9/2010 Terminated)Iowa
Registered Investment Advisory firm - (3/5/2010 Terminated)Massachusetts
Registered Investment Advisory firm - (3/24/2010 Terminated)Minnesota
Registered Investment Advisory firm - (3/8/2010 Terminated)Missouri
Registered Investment Advisory firm - (3/5/2010 Terminated)Nebraska
Registered Investment Advisory firm - (3/12/2010 Terminated)New Jersey
Registered Investment Advisory firm - (3/5/2010 Terminated)New York
Registered Investment Advisory firm - (3/5/2010 Terminated)North Carolina
Registered Investment Advisory firm - (3/5/2010 Terminated)North Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)Ohio
Registered Investment Advisory firm - (3/5/2010 Terminated)Oregon
Registered Investment Advisory firm - (3/5/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (3/31/2010 Terminated)South Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)Texas
Registered Investment Advisory firm - (3/5/2010 Terminated)Washington
Registered Investment Advisory firm - (3/5/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (3/5/2010 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
RR
Arizona(4/29/2021)
RR
Arkansas(3/26/2021)
RR
California(10/22/2024)
RR
District of Columbia(4/21/2025)
RR
Florida(4/29/2021)
RR
Iowa(5/22/2023)
RR
Louisiana(12/5/2024)
RR
Maryland(5/28/2024)
RR
Minnesota(5/1/2019)
IAR
Minnesota(6/12/2019)
RR
North Dakota(3/26/2021)
RR
South Dakota(3/26/2021)
RR
Virginia(7/23/2025)
RR
Wisconsin(3/26/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/25/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FOCUS FINANCIAL
AFC FINANCIAL ADVISORY GROUP | MOSER & HEIER FINANCIAL SOLUTIONS | MERTZ WEALTH STRATEGIES | KMF ADVISORS | FOCUS FINANCIAL NETWORK, INC. | FOCUS FINANCIAL | FDI INCORPORATED/FINANCIAL DESIGNS | BROOKLANDS
CRD#: 116140 / SEC#: 801-71117
RIA
Registered Investment Advisory firm - (3/2/2010 Approved)Arizona
Registered Investment Advisory firm - (3/5/2010 Terminated)California
Registered Investment Advisory firm - (3/8/2010 Terminated)Colorado
Registered Investment Advisory firm - (3/12/2010 Terminated)Florida
Registered Investment Advisory firm - (3/5/2010 Terminated)Georgia
Registered Investment Advisory firm - (3/5/2010 Terminated)Illinois
Registered Investment Advisory firm - (3/2/2010 Terminated)Indiana
Registered Investment Advisory firm - (3/9/2010 Terminated)Iowa
Registered Investment Advisory firm - (3/5/2010 Terminated)Massachusetts
Registered Investment Advisory firm - (3/24/2010 Terminated)Minnesota
Registered Investment Advisory firm - (3/8/2010 Terminated)Missouri
Registered Investment Advisory firm - (3/5/2010 Terminated)Nebraska
Registered Investment Advisory firm - (3/12/2010 Terminated)New Jersey
Registered Investment Advisory firm - (3/5/2010 Terminated)New York
Registered Investment Advisory firm - (3/5/2010 Terminated)North Carolina
Registered Investment Advisory firm - (3/5/2010 Terminated)North Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)Ohio
Registered Investment Advisory firm - (3/5/2010 Terminated)Oregon
Registered Investment Advisory firm - (3/5/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (3/31/2010 Terminated)South Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)Texas
Registered Investment Advisory firm - (3/5/2010 Terminated)Washington
Registered Investment Advisory firm - (3/5/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (3/5/2010 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1300 Godward Street Ne Suite 5500, Minneapolis, MN 55413
Mailing Address
Phone number
(651) 631-8166
Established
Firm type
Fiscal year end
# of Employees
172
SEC notice filing (46 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 26,057 |
| AUM (Assets Under Management) | $ 6,262,663,508 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/16/2025 |
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.
