Laurie Ketterling has been an investment adviser representative at RIA Advisory Group since August 2020, and is not listed among the firm’s executive officers or direct owners.
RIA Advisory Group, LLC is a Des Moines, IA firm with $568M under management, 1,996 clients and 25 advisers across 13 offices, as of its June 2026 filing.
Laurie Ketterling’s longest registration is the current one, 6 years at RIA Advisory Group since 2020. Before joining RIA Advisory Group in 2020, Laurie Ketterling was registered through Visionpoint Advisory Group and Principal Securities, Inc.
- RIA Advisory Group, LLCCurrent– present · 6 yearsSioux Falls, SD · Adviser representative · Firm CRD 152566
- Visionpoint Advisory Group– · 2 yearsSioux Falls, SD · Adviser representative · Firm CRD 168733
- Principal Securities, Inc.– · 5 yearsLuverne, MN · Adviser representative · Firm CRD 1137
Investment adviser representative registrations
Laurie Ketterling is registered as an investment adviser representative in 2 states. The first approvals date from August 2020; the most recent is Minnesota, in June 2026.
- MinnesotaSince 23 June 2026
- South DakotaSince 6 August 2020
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 15 October 2012 |
| Series 63 | Uniform Securities Agent State Law Examination | 21 December 2010 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 10 December 2010 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Laurie Jo Ketterling
- CRD
- 5862749
- Firm
- RIA Advisory Group · CRD 152566
- Office
- 6300 S. Old Village Pl, Suite 100, Sioux Falls, SD 57108
- Registration
- Investment adviser registration
- In the industry since
- December 2010
- Disciplinary history
- Not yet shown here · SEC record
Where does Laurie Ketterling work?
Laurie Ketterling is an investment adviser representative registered through RIA Advisory Group, LLC since August 2020, and is not listed among the firm’s executive officers or direct owners.
Is Laurie Ketterling a financial advisor?
Yes. Laurie Ketterling has a current investment-adviser registration in Minnesota and South Dakota, through RIA Advisory Group since August 2020.
How many years of experience does Laurie Ketterling have?
Laurie Ketterling has 15 years in the financial industry, since December 2010, across 3 adviser firms.
What exams has Laurie Ketterling passed?
Laurie Ketterling has passed 3 licensing exams: the Series 6, Series 63 and Series 65. The earliest, the Series 6, was passed in December 2010. FINRA credited Laurie Ketterling with the SIE, which began in October 2018.
Where did Laurie Ketterling work before RIA Advisory Group?
Before RIA Advisory Group, Laurie Ketterling was registered through Principal Securities, Inc., October 2012 to February 2018.
Where is Laurie Ketterling based?
Laurie Ketterling’s registered office is in Sioux Falls, SD.
Is Laurie Ketterling registered with FINRA?
No. Laurie Ketterling has no current broker registration.
How can I verify Laurie Ketterling’s record?
Search CRD 5862749 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Laurie Ketterling’s full registration record.
