THE OAK RIDGE FINANCIAL SERVICES GROUP, INC of GOLDEN VALLEY, MN is an SEC-registered investment adviser (CRD 42941). Regulatory assets under management: $668.6M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Charities.
| Name | Role | Location |
|---|---|---|
| Russell Stuart King | CHAIRMAN, CEO & DIRECTOR; SHAREHOLDER COMMON | — |
| Julie Ann Macy Rumble | VP, OPERATIONS MANAGER | — |
| Olga Rip | FINOP | — |
| John Richard Ekman | EXECUTIVE VICE PRESIDENT | — |
| Brandon James Cowan | EVP, CCO | — |
| Stephanie Hartmann | CCO | Minneapolis, MN |
| Lisa Ann Newman | EVP, CFO, DIRECTOR | — |
| KING KELLY STUART | CHAIRMAN, CEO & DIRECTOR; DIRECTOR; SHAREHOLDER COMMON | — |
| JACOBSEN BRYAN K | CHIEF COMPLIANCE OFFICER, ROP | — |
| WISNIEWSKI SARAH MARIE | CHIEF COMPLIANCE OFFICER; SENIOR VICE PRESIDENT/CHIEF COMPLIANCE OFFICER; SENIOR VICE PRESIDENT/CHIEF RISK OFFICER | — |
| JACKSON TRACY S | EVP, PRIVATE CLIENT GROUP, SALES MANAGER | — |
| NEWMAN LISA ANN | EVP, CFO, DIRECTOR; EXECUTIVE DIRECTOR, EVP, ROSFP, CFO, DIRECTOR; EXECUTIVE VP, CFO, DIRECTOR (+2 more) | — |
| LEONARD MICHAEL DAVID | PRESIDENT-PRIVATE CLIENT SERVICES GROUP, SALES MANAGER | — |
| KOZBERG MARC HOWARD | CEO, CHAIRMAN, DIRECTOR; SHARE HOLDER COMMON | — |
| MILLER SUSANNE HAWKINS | SR.VP, OPERATION MANAGER | — |
| STIEBER DAVID JEFFREY | SR VICE PRESIDENT, DIRECTOR OF CORPORATE FINANCE-FINANCIAL INSTITUTIONS | — |
| HERSTAD THOMAS DAVID | CHIEF COMPLIANCE OFFICER; EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER; VICE PRESIDENT, CHIEF COMPLIANCE OFFICER (+3 more) | — |
| SIMMS JACOB IRA MR | DIRECTOR | — |
| HENRIKSEN STEVEN ARTHUR | SVP, CHIEF COMPLIANCE OFFICER | — |
| BROWN KAEL CELESTE | EVP - PRIVATE CLIENT GROUP, SALES MANAGER; EVP, PRIVATE CLIENT GROUP, SALES MANAGER; EVP - PRIVATE CLIENT GROUP, SALES MANAGER, INTERIM OPERATIONS MANAGER (+1 more) | — |
| RIP OLGA | FINOP | — |
| TOUTANT PATRICK JOSEPH | EXECUTIVE VP, PRIVATE CLIENT GROUP, SALES MANAGER | — |
| RUMBLE JULIE ANN MACY | VP, OPERATIONS MANAGER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-01-27 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT VIOLATED FINRA RULES WHEN TRANSACTING CORPORATE BOND TRADES. BETWEEN APRIL 2020 AND JANUARY 2024, OAK RIDGE FINANCIAL EFFECTED CORPORATE BOND TRANSACTIONS WITH ITS CUSTOMERS AT PRICES… | Final | $270K |
| 2018-08-08 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT VIOLATED FINRA RULES WHEN TRADING FOR ITS OWN ACCOUNT, SOLD (OR BOUGHT) CORPORATE BONDS TO (OR FROM) CUSTOMERS AND FAILED TO SELL (OR BUY) SUCH BONDS AT A PRICE THAT WAS FAIR, TAKING I… | Final | $18K |
| 2014-06-16 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT THE FIRM DID NOT CONDUCT ANY FORMAL DUE DILIGENCE OF NON-TRADITIONAL EXCHANGE-TRADED FUNDS (ETFS) BEFORE ALLOWING ITS REPRESENTATIVES TO RECOMMEND AND SELL THEM TO CUSTOMERS. THE FINDINGS… | Final | $10K |