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JK
JK
James David Kallstrom
The Oak Ridge Financial Services Group, INC
31 Years of Experience
9 Disclosures
Broker
View SEC Summary
View SEC Summary
Areas of Practice
Investment Management
Financial Planning & Coaching
The Oak Ridge Financial Services Group, INC
Compensation
Fee-Only (AUM)
Fixed/Hourly
Firm Size
31 advisors
Number of Clients
1,501 clients
Average Client Portfolio
$304K average
Assets Under Management
$456.4M
Fee Structure
Investment Management
Planning
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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 Report
How to Read Disclosures
Employment History
Current Registrations
The Oak Ridge Financial Services Group, INC
February 2017 - Present · 9 yrs
The Oak Ridge Financial Services Group, INC.
Broker
February 2013 - Present · 13 yrs
Previous Registrations
Dougherty & Company LLC
Broker
December 2003 - March 2013 · 9 yrs 3 mos
Wachovia Securities, LLC
Broker
July 2003 - December 2003 · 5 mos
Prudential Securities Incorporated
Broker
December 2000 - July 2003 · 2 yrs 7 mos
Miller & Schroeder Financial, INC.
Broker
June 1994 - December 2000 · 6 yrs 6 mos
State Registrations
24 states
AZ
CA
CO
CT
DC
FL
IA
ID
IL
IN
KS
MN
MT
ND
NM
NY
OH
PA
SC
SD
TX
WA
WI
WY
Advisor
Broker
Both
Exams
No exam information available for this advisor.