360 FINANCIAL, INC. of WAYZATA, MN is an SEC-registered investment adviser (CRD 168600). Regulatory assets under management: $700.5M.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions.
| Name | Role | Location |
|---|---|---|
| Michael Anthony Rogers | CHIEF COMPLIANCE OFFICER AND PRESIDENT | — |
| ROGERS JOHN ANTHONY | CHIEF COMPLIANCE OFFICER AND PRESIDENT | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2015-03-09 | regulatory | THIS MATTER INVOLVES THE FAILURE OF 360 FINANCIAL - A REGISTERED INVESTMENT ADVISER - TO DISCLOSE TO CLIENTS THAT IT RECEIVED A FORGIVABLE LOAN OF $446,356 FROM A BROKER-DEALER (THE "BROKER-DEALER") AND A SEPARATE NON-FORGIVABLE LOAN FROM A BROKER THAT PROVIDES CLEARING AND CUSTODY SERVICES FOR 360… | Final | $40K |
| City | State | Employees | Phone |
|---|---|---|---|
| ELK RIVER | MN | 2 | 763-241-0841 |
| EDINA | MN | 1 | 952-945-5011 |