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James Kallstrom

The Oak Ridge Financial Services Group, INC
32 Years of Experience
Golden Valley, MN
9 DisclosuresBroker
View SEC Summary
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James Kallstrom is a registered investment advisor at The Oak Ridge Financial Services Group, INC, based in Golden Valley, MN, with 32 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,005 clients with $670M in assets under management.

The Oak Ridge Financial Services Group, INC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
33 advisors
Number of Clients
1,005 clients
Average Client Portfolio
$665K average
Assets Under Management
$668.6M

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Fees vary from 0.25% to 2.25% on managed assets, not to exceed a maximum cumulative fee of 2.50%. Third-party managers may establish their own independent fee schedules.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

701 Xenia Ave. South, Suite 100, Golden Valley, MN, 55416-1089

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History

Regulatory History (9)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
February 2013
Customer Dispute
August 2001
Final
Customer Dispute
April 2001
Denied
Customer Dispute
December 2000
Denied
Customer Dispute
November 2000
Settled
Customer Dispute
October 2000
Closed-No Action
Customer Dispute
July 2000
Closed-No Action
Customer Dispute
June 2000
Closed-No Action
Customer Dispute
December 1998
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
The Oak Ridge Financial Services Group, INC
February 2017 - Present · 9 yrs 8 mos
The Oak Ridge Financial Services Group, INC.Broker
February 2013 - Present · 13 yrs 8 mos
Previous Registrations
Dougherty & Company LLCBroker
December 2003 - March 2013 · 9 yrs 3 mos
Wachovia Securities, LLCBroker
July 2003 - December 2003 · 5 mos
Prudential Securities IncorporatedBroker
December 2000 - July 2003 · 2 yrs 7 mos
Miller & Schroeder Financial, INC.Broker
June 1994 - December 2000 · 6 yrs 6 mos
State Registrations27 states
AZCACOCTDCFLIAIDILINKSMAMIMNMTNCNDNMNYOHPASCSDTXWAWIWY
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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