Advisor at Trott Brook Financial
Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
Firm
Trott Brook Financial
Location
Anoka, MN 55303
Credentials
CFP®, Series 63
Industry experience
32 years
James Steffen is a CFP® professional with 32 years of experience in the financial services industry. He is the sole advisor at Trott Brook Financial, where he has worked since 2018, and has prior experience at LPL Financial and LaSalle Street Securities. Steffen serves as the finance chair and treasurer on the board of Achieve Services, a nonprofit focused on employment opportunities for disabled adults. Trott Brook Financial serves individual investors, including high-net-worth clients, providing discretionary asset management, financial planning, and retirement-plan advisory services. The firm employs a long-term investment approach with customized asset allocation and routine portfolio monitoring, managing approximately $98 million in assets for about 146 clients.
Based on Trott Brook Financial
Based on Trott Brook Financial
$0 - $500,000: 1.40% annually $500,000.01 - $1,000,000: 1.25% annually $1,000,000.01 - $2,500,000: 1.00% annually $2,500,000.01 - $5,000,000: 0.80% annually $5,000,000.01+: 0.60% annually
Investment advisor representatives receive external compensation for sale of securities as registered representatives of a broker-dealer.
Account minimum: $500,000 Fee-only: Ongoing financial planning fees range from $250 to $500 per month, billed monthly in advance.
3601 Thurston Ave, Suite 102
Anoka, MN 55303
Minnesota
Trott Brook Financial, LLC
2018 - Present (8 years)
LaSalle Street Securities LLC
2018 - Present (8 years)
LPL Financial
2013 - 2018 (5 years)
LPL Financial
2002 - 2018 (16 years)
Trott Brook Financial, Inc.
1999 - Present (27 years)
Jim Steffen, Sole Proprietor
1991 - Present (35 years)
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Is not active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
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Bank
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Trust company
They provide trust and estate administration services, typically for separate fees.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Lawyer
They provide legal services, typically billed separately.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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