Brochure Supplement for: Brad K. North

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1 Brochure Supplement for: Brad K. North 2701 University Ave SE Minneapolis, MN CRI Securities, LLC and Securian Financial Services, Inc. 400 Robert Street North, St. Paul, MN October 10, 2013 Your financial advisor is an investment advisor representative of both CRI Securities, LLC ( CRI ) and Securian Financial Services, Inc. ( Securian ). CRI and Securian (each a Firm ) are affiliates and each is a Registered Investment Advisor. Your financial advisor may offer investment advisory services through either Firm. This Brochure Supplement provides information about your financial advisor that supplements the separate Brochure or Wrap Fee Program Brochure describing the investment advisory services offered by Securian Financial Services, Inc. ( Securian ). You should have received a copy of that Brochure. Please call Securian s Service Center at if you did not receive Securian s Brochure or Wrap Fee Program Brochure or if you have any questions about the contents of this Supplement. Additional information about your financial advisor is available on the SEC s website at Information regarding your financial advisor may not appear on this website if your financial advisor is not required to register in the state in which you reside or in other states in which your advisor conducts business. Securities and investment advisory services offered through Securian Financial Services, Inc., Member FINRA/SIPC. Page 1 of 5

2 Educational Background and Business Experience Brad K. North year of birth: 1975 Formal Education University of Wisconsin, Eau Claire Bachelors Degree Business Administration Business Background Present Financial Advisor, North Star Resource Group Designations CFP CERTIFIED FINANCIAL PLANNER TM The CERTIFIED FINANCIAL PLANNER TM designation provides an advisor with the ability to apply financial planning concepts to real-life financial planning situations. To earn the CFP an advisor must have a Bachelor s Degree, have at least three years of full-time financial planning related experience, and complete course work in the following areas: insurance planning and risk management, employee benefits planning, investment planning, income tax planning, retirement planning, and estate planning. The advisor must pass a comprehensive 10 hour examination. Additionally, advisors must abide by a code of ethics and complete continuing education requirements. Disciplinary Information Financial Advisors are required to disclose all material facts regarding any legal or disciplinary events that may be material to your evaluation of their integrity with respect to providing you investment advice. Your financial advisor does not have any disclosable legal or disciplinary event(s). Additional information about your financial advisor can also be found on BrokerCheck at: BrokerCheck is a free tool to help investors research the professional backgrounds of FINRA registered firms and financial advisors. Other Business Activities In addition to providing the investment advisory services described in CRI s or Securian s Brochure or Wrap Fee Program Brochure, your financial advisor may also separately engage in the sale of mutual funds and other securities as a registered representative of CRI or Securian. When selling variable insurance products, your financial advisor acts as a registered representative of only Securian, and also acts as an insurance agent for each issuer of such variable insurance products, including Securian s (and CRI s) affiliated life insurance company, Minnesota Life Insurance Company ( Minnesota Life ). Your financial advisor may only sell variable insurance products offered through Securian, but is not required to sell variable products issued by Securian s affiliate, Minnesota Life. Your financial advisor may also provide occasional investment advice to clients that is incidental to the brokerage services provided and for which the financial advisor does not receive any special compensation. Page 2 of 5

3 In your financial advisor s capacity as a CRI or Securian registered representative, your financial advisor will receive commissions or other forms of compensation from CRI or Securian for such securities brokerage services. CRI, Securian and their affiliated life insurance company also jointly sponsor a field recognition program under which they award non-cash credits to your financial advisor for the sale of variable insurance products and other investment products and services, including investment advisory services. These credits allow your advisor to attend conventions and other meetings sponsored by CRI, Securian and their affiliated life insurance company, and cover such things as paid travel and accommodations at such conventions and meetings. In accordance with rules of the Financial Industry Regulatory Authority (FINRA), these non-cash benefits are based on the total production of each financial advisor with respect to all products (in the same category) sold through CRI or Securian, and the credit awarded for each product sold in a category is equally weighted, without regard to the product s issuer or its affiliation with the Firm. Registered representatives are required to recommend only those securities transactions that are suitable for a customer, based on the customer s investment objectives and financial circumstances. CRI and Securian each reviews all recommendations by its registered representatives to ensure that such recommendations are suitable. In addition, when acting as an investment advisor representative offering the investment advisory services described in CRI s or Securian s Brochures, your financial advisor is required to act in your best interests. Each Firm also monitors your financial advisor s investment advisory activities for compliance with this obligation. Separate from your financial advisor s relationship with CRI or Securian, your financial advisor engages in other business activities that are not regulated or supervised by CRI or Securian. The following non-cri and non-securian activities involve at least 10% of your financial advisor s time or represent at least 10% of your financial advisor s income: The sale of the following products: fixed life insurance, fixed annuities, disability insurance, property and casualty insurance, long-term care insurance, health insurance and/or group benefits. Your financial advisor is compensated for such activity by the unaffiliated businesses offering such services or by the individuals seeking such services, and not necessarily by CRI or Securian. Additional Compensation Your financial advisor is compensated by CRI or Securian as a result of your engaging CRI or Securian to provide investment advisory services to you. The amount of that compensation may be more for some of CRI s or Securian s programs than for others, or more than what your financial advisor would earn if you paid separately for services that CRI or Securian may bundle together (e.g. paying separately for investment advice and brokerage services). Non-Cash Compensation from Securian and/or CRI or Our Affiliates As described above, CRI, Securian and their affiliated life insurance company award credits to your financial advisor for the sale of investment advisory services, as well as for sales of variable insurance Page 3 of 5

4 products and other securities, that allow your financial advisor to attend conventions and other meetings sponsored by CRI, Securian and their affiliated life insurance company, including paid transportation, hotel accommodations, and meals at such conventions and meetings. All credits for products in the same category are equally weighted, so that products issued by affiliated companies do not receive greater credits than comparable products issued by unaffiliated companies. Your financial advisor is also eligible for financing arrangements, no-cost training, group health and/or life insurance benefits, retirement benefits, deferred compensation benefits, and other benefits from Minnesota Life. Non-Cash Compensation from Third Parties In connection with the investment advisory services offered by CRI or Securian, certain third parties (e.g. portfolio managers, investment managers, sub-managers, custodians, or clearing brokers) may provide other non-cash benefits to your financial advisor, such as occasional meals or tickets to sporting or entertainment events. In addition, some of those third parties sponsor or participate in product conferences or training events and, with CRI s or Securian s approval, may provide your financial advisor with paid transportation, hotel accommodations and meals for such events. Marketing & Other Assistance Third party service providers in some of CRI s or Securian s investment advisory programs may provide your financial advisor with additional financial support by reimbursing your financial advisor for certain marketing related expenses, such as client seminars, client appreciation events, and donations to charities or charitable events. In general, such reimbursement or donations create a potential conflict of interest for your financial advisor, but CRI and Securian seek to limit such conflicts by maintaining policies that monitor the amount of financial support your financial advisor may receive. For more information about the other compensation and the benefits received by your financial advisor, please contact your financial advisor. Supervision Your financial advisor s activities on behalf of both CRI and Securian are supervised by Dave Vasos, Managing Partner, CRI and Securian have established and maintain policies and procedures reasonably designed to detect and prevent violations of the Investment Advisers Act of 1940 and rules and regulations related to that Act. These include a Code of Ethics, described in CRI s or Securian s Brochure or Wrap Fee Program Brochure. CRI and Securian also utilize an internal testing process in conjunction with regular audits to supervise its financial advisors, including your financial advisor. Pursuant to these policies, CRI and Securian review the recommendations of your financial advisor for suitability. CRI and Securian also monitor your financial advisor s investment advisory activities and receipt of cash and non-cash compensation to ensure adequate disclosure of conflicts of interest or, where appropriate, to avoid them. Page 4 of 5

5 These policies and procedures are designed to prevent your financial advisor from acting in any way that is inconsistent with CRI s and Securian s legal obligations to you, including the requirement that your financial advisor place your interests first. Page 5 of 5

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