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Title: Financial Counselor or Planner
Alternate Title:
Description: The business of "financial planning" means providing, or offering to provide, financial planning services or financial counseling or advice, on a group or individual basis. A person who, on advertisements, cards, signs, circulars, letterheads, or in any other manner, indicates that the person is a "financial planner," "financial counselor," "financial adviser," "investment counselor," "estate planner," "investment adviser," "financial consultant," or any other similar designation or title or combination thereof, is considered to be representing himself or herself to be engaged in the business of financial planning. Minnesota Department of Commerce
Subject: Financial Counselors/Planners
Financial Professionals
Investment Advisors
Creation Date: 9/11/2008 2:13:06 PM
Modification Date: 9/7/2022 11:37:52 AM
Agency Name: Commerce, Minnesota Department of
Agency URL:
Agency Description: The Minnesota Department of Commerce is the chief regulator for the banking, energy, insurance, real estate, securities, telecommunications industries and also operates Minnesota's Unclaimed Property.
Agency Phone: 651-539-1600
Agency Fax: Agency URL:
Agency Address:
85 7th Place East, Suite 500

St. Paul
Division Name: Securities Unit
Division URL:
Division Description:
Division Phone: Division Fax: Division URL:
Audience: Application URL:
Renewal URL:
Versa URL:

Minnesota does not license or regulate Financial Planners. However, if a Financial Planner provides specific investment recommendations for a fee, they may be required to be registered by the Department of Commerce as an Investment Advisers and their Representatives

Financial Planners may also be licensed as Broker Dealers and their Agents and/or Resident Producers or Non-resident Producers

If Financial Planner is also offering insurance products they must be licensed as an Insurance Agent. 

Rules: 2876

Statutes: 80A

Period of Issuance:
Length of Determination:
Other Info:
Activity: Financial Counselors/Planners
License Detail URL:

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Minnesota Department of Commerce

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