Gradient Securities, Llc
SEC-registered
Insurance-Affiliated · Small ($100M–$1B)
CRD 127701
· SEC file 801-80807
· Arden Hills, MN
· WWW.FACEBOOK.COM
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ADV data as of Apr 13, 2026
- Regulatory AUM
- $608M
- Discretionary
- $0
- Clients
- 4,553
- Avg AUM / client
- $134K
- Accounts
- 5,848
- Employees
- 67
AUM over time
$0
$608M
Dec 2014
Dec 2025
Annual snapshots from Form ADV filings · as of Apr 13, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 4,386 | $453M | 74.5% |
| High net worth individuals | 160 | $148M | 24.3% |
| Pension and profit sharing plans | 3 | $2.7M | 0.45% |
| Corporations and other businesses | 4 | $4.1M | 0.67% |
People (68)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Remme, Brian Andrew | Chief Compliance Officer | Dec 2019 (7y) | Less than 5% | |
| Nelson, Robert Scott | President & Elected Manager | Mar 2021 (5y) | Less than 5% | |
| Lucius, Tami Jean | Trustee Of Tami J. Lucius Revocable Trust Dtd December 17, 2020 | Mar 2022 (4y) | Less than 5% | |
| Walch, Kristina Lee | Finop | Jul 2023 (3y) | Less than 5% | |
| George Nicholas Yankoupe | Registered representative | Feb 2015 (11y) | ||
| Larry Clifford Dogs | Registered representative | Feb 2015 (11y) | ||
| Armando Cunill | Registered representative | Feb 2015 (11y) | ||
| Roger P Tennyson | Registered representative | CFP | Feb 2015 (11y) | |
| Jamie Lawrence Wing | Registered representative | Mar 2015 (11y) | ||
| Andrew John O'neill | Registered representative | Mar 2015 (11y) | ||
| Michael Aubrey Raitt | Registered representative | Mar 2015 (11y) | ||
| Todd William Knutsen | Registered representative | Chartered Financial Consultant | Mar 2015 (11y) | |
| Benjamin Joseph Zaharias | Registered representative | Chartered Financial Consultant | Apr 2015 (11y) | |
| Craig Matthew Dickson | Registered representative | Apr 2015 (11y) | ||
| Richard Scott Reid | Registered representative | May 2015 (11y) | ||
| Deborah Lynn Bishopp | Registered representative | CFP | May 2015 (11y) | |
| Michael Joseph Mccullough | Registered representative | Jun 2015 (11y) | ||
| Deborah Lorraine Bluhm | Registered representative | Oct 2015 (11y) | ||
| Joshua Eric Fallenstein | Registered representative | Nov 2015 (11y) | ||
| Lindsay Anne Cameron | Registered representative | CFP | Dec 2015 (11y) | |
| Pamela Hausman | Registered representative | CFP | Mar 2016 (10y) | |
| Wendall Loyd Corley | Registered representative | May 2016 (10y) | ||
| David William Brady | Registered representative | Chartered Financial Consultant | Jun 2016 (10y) | |
| Brandon Todd Green | Registered representative | Chartered Financial Consultant | Aug 2016 (10y) | |
| Sean Paul Perez | Registered representative | Sep 2016 (10y) | ||
| Tyler Brooks Tury | Registered representative | Jan 2017 (10y) | ||
| Michael James Farrington | Registered representative | Mar 2017 (9y) | ||
| David Ross Mccaghren | Registered representative | Aug 2017 (9y) | ||
| Alex Wong | Registered representative | Jan 2018 (9y) | ||
| Mark Allen Mcnamee | Registered representative | Jan 2019 (8y) | ||
| Michael Scott Allison | Registered representative | Chartered Financial Consultant | Apr 2019 (7y) | |
| Robert Edward Allison | Registered representative | Apr 2019 (7y) | ||
| Jorge Alberto Trevino | Registered representative | Apr 2019 (7y) | ||
| Jamie Lee Jochum | Registered representative | CFP | Jul 2019 (7y) | |
| Kevin Thomas Mix | Registered representative | Oct 2019 (7y) | ||
| Richard A Ure | Registered representative | Nov 2019 (7y) | ||
| Robert Dahl | Registered representative | Jul 2020 (6y) | ||
| Paul Christopher Vessel | Registered representative | Jan 2021 (6y) | ||
| Bryon Ganus Deiss | Registered representative | Feb 2021 (5y) | ||
| Lindsay L Tran | Registered representative | Feb 2021 (5y) | ||
| Mitat Lika | Registered representative | Jul 2021 (5y) | ||
| Peter Frederick Acquaro | Registered representative | Jan 2022 (5y) | ||
| Erik Alan Nelson | Registered representative | Jul 2022 (4y) | ||
| Michael Dale Potter | Registered representative | Mar 2023 (3y) | ||
| Ryan Vance Golinski | Registered representative | May 2023 (3y) | ||
| Jack Garrett Welchlin | Registered representative | Jul 2023 (3y) | ||
| Rachel Emily Sams | Registered representative | Aug 2023 (3y) | ||
| Grace Ann Haverkamp | Registered representative | Chartered Financial Consultant | Jan 2024 (3y) | |
| Morgan Paige Smick | Registered representative | Feb 2024 (2y) | ||
| Michael B Haney | Registered representative | Chartered Financial Consultant | Mar 2024 (2y) | |
| Brandon Lee Ulmer | Registered representative | CFP | Aug 2024 (2y) | |
| Eric Richard Nohner | Registered representative | Oct 2024 (2y) | ||
| Timothy Alan Rosga | Registered representative | Oct 2024 (2y) | ||
| Matthew Robert Engstrom | Registered representative | Nov 2024 (2y) | ||
| Patrick Lee Kulzer | Registered representative | Mar 2025 (1y) | ||
| J Paul Brian Prasifka | Registered representative | Mar 2025 (1y) | ||
| Aaron Thomas Mix | Registered representative | May 2025 (1y) | ||
| John Wilder Spears | Registered representative | May 2025 (1y) | ||
| Matthew Gabe Jorgensen | Registered representative | CFP | Jul 2025 (1y) | |
| Katie Michelle Grage | Registered representative | Aug 2025 (1y) | ||
| Alexandra Marie Richey | Registered representative | Sep 2025 (1y) | ||
| Danielle Marie Gray | Registered representative | Oct 2025 (1y) | ||
| Edil Llanos | Registered representative | CFP | Oct 2025 (1y) | |
| Gregory Allen Wales | Registered representative | Dec 2025 (1y) | ||
| Lindsay Renee May | Registered representative | Dec 2025 (1y) | ||
| Margaret Ann Barrett | Registered representative | Mar 2026 (0y) | ||
| Eric Jonathan Dirkes | Registered representative | Chartered Financial Consultant | May 2026 (0y) | |
| Jason Andrew Beatty | Registered representative | CFP | Jun 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Tami J. Lucius Revocable Trust Dtd December 17, 2020 | Owner | Mar 2022 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 04/13/2026 | 2.03 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Regulatory · Item 11.D(2)
as of Apr 05, 2024
Allegations: FAILURE TO RESUME ONSITE BRANCH OFFICE INSPECTIONS IN THE STATE OF MAINE IN ACCORDANCE WITH MAINE ORDER 2021-12 OR RULE CH. 504 § (7)(4)(B). Status: Final Sanction Detail: A CIVIL FINE OF $2,500.00 WAS PAID ON 08/07/2023. Summary: IN RESPONSE TO THE CORONAVIRUS, THE STATE OF MAINE PERMITTED VIRTUAL BRANCH INSPECTIONS IN 2020 AND 2021 WITH ON-SITE INSPECTIONS TO RESUME IN 2022. THE FIRM CONDUCTED VIRTUAL BRANCH OFFICE INSPECTIONS IN 2020, 2021, AND 2022 WITH ON-SITE INSPECTIONS RESUMING DURING THE FIRST QUARTER OF 2023. AT THE TIME OF THIS FILING, THE FIRM HAS ONE BRANCH OFFICE LOCATED IN MAINE.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
- • Other fees
- • SOLICITOR FEES
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- SEI Private Trust $264M (43% of AUM) Apr 2026
- Charles Schwab & Co. $111M (18% of AUM) Apr 2026
- Folio Investments, Inc. $101M (17% of AUM) Apr 2026
- RBC $100M (17% of AUM) Apr 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Apr 13, 2026.
View current Form ADV (SEC/IAPD) ↗