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Richard William Rokala

THE OAK Ridge Financial Services Group, Inc.

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About Richard William Rokala

Richard Rokala is a financial advisor at The Oak Ridge Financial Services Group, Inc. located in Golden Valley, MN. Richard has been in the financial industry since 1997 and has a broad range of experience. Richard is licensed in 20 states and holds the Series 7 and Series 63 licenses.

Firm Information

Richard Rokala is currently registered with THE OAK Ridge Financial Services Group, Inc.. THE OAK Ridge Financial Services Group, Inc. is a corporation headquartered in GOLDEN VALLEY, MN, United States. Founded in March 1997, the firm offers a wide range of financial services, including financial planning, portfolio management for individuals, and selection of other advisers. They have a strong presence across the United States, with state registrations in all 50 states, as well as the District of Columbia and Virgin Islands. With over 30 licensed agents and investment advisor representatives, they serve a diverse clientele, including individuals, high-net-worth individuals, and insurance companies. Their regulatory assets under management exceed $456 million, demonstrating their expertise and experience in managing client assets.
THE OAK Ridge Financial Services Group, Inc.

701 XENIA AVENUE SOUTH

GOLDEN VALLEY, MN 55416-1089

$456.42M

Assets Under Management

Not reported

Total Clients

52

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Richard Rokala’s Registration & Firm History

MN

07/19/2017 - Present

THE OAK Ridge Financial Services Group, Inc. (GOLDEN VALLEY MN)

MN

10/25/2011 - 08/14/2017

DOUGHERTY & COMPANY LLC (MINNEAPOLIS MN)

MN

12/06/2006 - 11/03/2011

STIFEL, NICOLAUS & COMPANY, INCORPORATED (MINNEAPOLIS MN)

MN

09/30/2002 - 12/06/2006

MILLER JOHNSON STEICHEN KINNARD, INC. (MINNEAPOLIS MN)

MN

12/14/2001 - 10/16/2002

U.S. BANCORP PIPER JAFFRAY INC. (MINNEAPOLIS MN)

MN

01/01/2001 - 12/14/2001

MILLER JOHNSON STEICHEN KINNARD, INC. (MINNEAPOLIS MN)

MN

01/28/1997 - 01/01/2001

JOHN G. KINNARD AND COMPANY, INCORPORATED (MINNEAPOLIS MN)

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Licenses & Designations

BC

Issued 01/31/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/24/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 3 public disclosures for Richard William Rokala. Review regulatory record here.
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