Gregory Alan Stroh
Professional Summary
Gregory Alan Stroh is a registered financial advisor currently at CAPITAL MANAGEMENT ASSOCIATES INC located in Minneapolis, Minnesota and CAPITAL MANAGEMENT SECURITIES, INC. located in Minneapolis, Minnesota. Gregory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Gregory has worked at 4 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 1, Series 28, Series 53...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
46 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
CAPITAL MANAGEMENT ASSOCIATES INC | UNITED INVESTMENT GROUP | RONIN ADVISORY | FIRST ADVISORS
Contact Information
Main Address
7900 Xerxes Ave. S, Ste 500, Minneapolis, MN 55431-1120Phone Number
(952) 893-1200# of Employees
17SEC notice filing (16 States and Territories)
Registered to provide investment advisory services in 16 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
931AUM (Assets Under Management)
$1,879,452,339Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
CAPITAL MANAGEMENT ASSOCIATES INC | UNITED INVESTMENT GROUP | RONIN ADVISORY | FIRST ADVISORS
State Registrations and Notice Filings
(12/11/2019)
(4/8/2024)
(4/8/2024)
(4/8/2024)
(11/13/1996)
(4/8/2024)
(11/15/2017)
(4/8/2024)
(4/8/2024)
(8/14/1982)
(12/20/2013)
(6/7/1994)
(8/12/1983)
(4/8/2024)
(9/1/2000)
(4/8/2024)
(1/14/1991)
(5/16/2023)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Sep 2025About the Series 52TO examSeries 1 — Registered Representative Examination
Passed Jan 1980Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Nov 1994About the Series 28 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Gregory Alan Stroh's CRS (Customer Relationship Summary).
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