DW
Douglas E. Wanous
ADVANCED ADVISOR GROUP
Rochester, MN 55901
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CRD#: 7381651
DW
Professional summary
Douglas Edward Wanous is a registered financial advisor currently at ADVANCED ADVISOR GROUP, LLC located in Rochester, Minnesota and EFS ADVISORS located in Rochester, Minnesota.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Douglas has worked at 2 firms and has passed the Series 65, Series 63, Series 6TO 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.
Teacher/Coach with Owatonna Public schools ISD 761. Not investment related. 40 hours a week during trading hours ***** LLC Manager for Halliday Family Partnership. Not investment related. Overseeing family real estate property holdings. 1 hour a month, none during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Edward Wanous'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
September 16, 2021 - Present
ADVANCED ADVISOR GROUP, LLC
Office #1: 2778 Commerce Drive Nw Suite B, Rochester, MN 55901RIA
BD
CRD#: 140393
Rochester, MN
Current
October 1, 2021 - Present
EFS ADVISORS
Office #1: 2778 Commerce Drive Nw Suite B, Rochester, MN 55901RIA
CRD#: 115211
Rochester, MN
Current
June 7, 2021 - Present
ADVANCED ADVISOR GROUP, LLC
Office #1: 2778 Commerce Drive Nw Suite B, Rochester, MN 55901RIA
BD
CRD#: 140393
Rochester, 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".
EA
EFS ADVISORS
EDUCATOR'S FINANCIAL SERVICES, INC. | EFS ADVISORS LLC | EFS ADVISORS
CRD#: 115211 / SEC#: 801-62857
RIA
Registered Investment Advisory firm - (3/11/2004 Approved)Iowa
Registered Investment Advisory firm - (6/29/2004 Terminated)North Dakota
Registered Investment Advisory firm - (7/26/2004 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
Iowa(3/8/2024)
RR
Minnesota(9/16/2021)
IAR
Minnesota(9/16/2021)
IAR
Wisconsin(10/9/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 6/7/2021
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
EA
EFS ADVISORS
EDUCATOR'S FINANCIAL SERVICES, INC. | EFS ADVISORS LLC | EFS ADVISORS
CRD#: 115211 / SEC#: 801-62857
RIA
Registered Investment Advisory firm - (3/11/2004 Approved)Iowa
Registered Investment Advisory firm - (6/29/2004 Terminated)North Dakota
Registered Investment Advisory firm - (7/26/2004 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1995 East Rum River Drive S, Cambridge, MN 55008
Mailing Address
Phone number
(763) 689-9023
Established
Firm type
Fiscal year end
# of Employees
59
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 29,714 |
| AUM (Assets Under Management) | $ 2,271,853,092 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
EFS ADVISORS
CRD#: 115211Rochester, MN 55901TRUST BUT VERIFY
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