GRADIENT SECURITIES, LLC of ARDEN HILLS, MN is an SEC-registered investment adviser (CRD 127701). Regulatory assets under management: $607.9M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed, Other.
Clients served: Individuals, High net worth, Pensions, Charities.
| Name | Role | Location |
|---|---|---|
| Nelson Scott | PRESIDENT & ELECTED MANAGER | Las Vegas, NV |
| Jamie Lee Jochum | FINOP | — |
| Robert Scott Nelson | PRESIDENT & ELECTED MANAGER | — |
| Brian Andrew Remme | CHIEF COMPLIANCE OFFICER | — |
| Tami Jean Lucius | OWNER MERAKI PRIVATE EQUITY, LLC; TRUSTEE; TRUSTEE OF - TAMI J. LUCIUS REVOCABLE TRUST DTD DECEMBER 17, 2020 | — |
| Charles Edward Lucius | OWNER MERAKI PRIVATE EQUITY, LLC; TRUSTEE | — |
| Kristina Lee Walch | FINOP | — |
| SIEPMANN KLAUS HERBERT | CHIEF COMPLIANCE OFFICER | — |
| FOLEY JEFFREY ALLEN | PRESIDENT/CEO; PRESIDENT/MANAGING MEMBER | — |
| STOVALL NICHOLAS EDWARD | FINOP | — |
| LUCIUS TAMI JEAN | MEMBER; OWNER; TRUSTEE OF - TAMI J. LUCIUS REVOCABLE TRUST DTD DECEMBER 17, 2020 | — |
| LEFLAR CHARLES DAVID | PRESIDENT & ELECTED MANAGER; PRESIDENT & MANAGING MEMBER | — |
| REMME BRIAN ANDREW | CHIEF COMPLIANCE OFFICER | — |
| WALCH KRISTINA LEE | FINOP | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-07-19 | regulatory | FAILURE TO RESUME ONSITE BRANCH OFFICE INSPECTIONS IN THE STATE OF MAINE IN ACCORDANCE WITH MAINE ORDER 2021-12 OR RULE CH. 504 ? (7)(4)(B). | Final | $3K |
| 2023-07-19 | regulatory | FAILURE TO RESUME ONSITE BRANCH OFFICE INSPECTIONS IN THE STATE OF MAINE IN ACCORDANCE WITH MAINE ORDER 2021-12 OR RULE CH. 504 § (7)(4)(B). | Final | $3K |
| — | criminal | — | — | — |
| — | regulatory | — | — | — |