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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ND | RA | APPROVED | 2022-10-18 |
| TX | RA | APPROVED_RES | 2022-10-14 |
Branch Locations
4207 28Th Avenue South 2Nd Floor, Fargo, ND 58104 • United States
Fargo, ND • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Thief River Falls | MN | 01/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Thief River Falls | MN | 11/2016 | 10/2022 |
| Rbc Capital Markets, Llc | Fargo | ND | 10/2022 | Present |
1) 300 BROADWAY HOMEOWNERS ASSOCIATION; NOT INVESTMENT RELATED; FARGO,ND; START DATE 01/01/2020; NUMBER OF HOURS PER MONTH 2; NUMBER OF HOURS DURING TRADING 0; ATTENDING MEETIGNS TO DISCUSS THE WELL-BEING OF THE 300 BROADWAY PROPERTY AND GOVERNING THE PROPERTY FOR THE TENANTS. 2) NAME OF ENTITY: Hope Lutheran ADDRESS: Fargo, ND 58103 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Church CAPACITY: Board of Directors * START DATE: 10/01/19 DUTIES: Review executive committee agenda and daily church business HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 3) NAME OF ENTITY: YMCA ADDRESS: Fargo, ND 58102 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Fitness and Family Center CAPACITY: Director START DATE: 10/01/16 DUTIES: General business advice HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 4) Name of Entity: Fellowship of Christian Athletes Non-Investment related Address of Entity: 3550 38th Ave S, Unit 103, Fargo, ND 58102 Nature of OBA: Serving High School Youth/Athletes Position/Title/Relationship: Board of Directors * Start Date: 03/15/23 Time Devoted: 1 hour; 0 during securities trading hours Duties: Monthly board meetings; Actively involved in new staff onboarding. Identifying donors and raising funds to help accomplish FCA's mission. 5) NAME OF ENTITY: NDSU Development Foundation ADDRESS: 1241 North University Drive Fargo, ND 58102 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Support the mission of North Dakota State University CAPACITY: Committee/Council Member (not associated with the Board of Directors) START DATE: 10/20/20 DUTIES: Fulfilling the mission of building enduring relationships that maximize advocacy and philanthropy to support NDSU HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (6) NAME OF ENTITY: Krats, LLC ADDRESS: 300 Broadway Unit 401 Fargo NORTH DAKOTA 58102 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private Company START DATE: 18/07/2025 CAPACITY: Other DUTIES: Property management HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-06-25 |
| S63 | Uniform Securities Agent State Law Examination | 1990-02-02 |
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