Minnesota
Broker-dealer firm disciplinary records from FINRA BrokerCheck
Grade Distribution
Firms by Disclosure Count
| Firm | Disclosures | Advisors | Grade | Status |
|---|---|---|---|---|
| U.S. BANCORP INVESTMENTS, INC. | 29 | 1 | F | Active |
| U.S. BANCORP ADVISORS, LLC | 5 | 1 | F | Active |
| AEI SECURITIES, INC. | 4 | 1 | F | Active |
| DORN & CO., INC. | 3 | 1 | F | Active |
| AEGIS INVESTMENTS, INC. | 2 | 1 | F | Active |
| AETHLON CAPITAL, L.L.C | 1 | 1 | F | Active |
| SIA SECURITIES CORPORATION | 1 | 1 | F | Active |
| HENNEPIN PARTNERS LLC | 0 | 1 | A | Active |
| THE M & A GROUP LLC | 0 | 1 | A | Active |
| TRIPLETREE, LLC | 0 | 1 | A | Active |
Inside Minnesota's Broker-Dealer Landscape
Minnesota is home to 10 broker-dealer firms in FINRA's public register, of which 10 (100.0%) are currently marked ACTIVE. Those firms employ 10 registered advisors across their home offices and branches — an average of 1.0 advisors per firm.
The state's aggregate disciplinary footprint totals 45 disclosures on BrokerCheck, averaging 4.5 per firm. Grade distribution across Minnesota's broker-dealers: 3 graded A, 0 graded B, 0 graded C, 0 graded D, and 7 graded F. That means 30.0% of graded firms hold an A and 70.0% fall into the D or F bands.
Grades reflect our internal model weighing disclosure volume against firm size and scope; they are editorial signals, not FINRA ratings. Disclosure totals on BrokerCheck represent reported events, not proven violations — large multistate firms headquartered in Minnesota will naturally carry more disclosures than small single-office firms. This page is informational only and is not financial, legal, or investment advice. Before hiring any Minnesota advisor, confirm the firm's current record at FINRA BrokerCheck and review the specific representative's individual CRD report.
Read our methodology — how this data is sourced, computed, and verified.
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