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Current Employers
Osaic Institutions, Inc.

538 Preston Avenue, Meriden, CT 06450-4858 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2020-11-13
MN RA APPROVED 2016-07-01
  • TX RA
    APPROVED
    Since 2020-11-13
  • MN RA
    APPROVED
    Since 2016-07-01

Branch Locations

17035 Yale Court Nw, Elk River, MN 55330 • United States

3380 Northdale Blvd Nw, Coon Rapids, MN 55448 • United States

10 Northtown Dr Ne, Blaine, MN 55434 • United States

3951 Division St, St. Cloud, MN 56301 • United States

900 Central Ave. E., St. Michael, MN 55376 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Securities America Inc Coon Rapids MN 11/2013 Present
Securities America Advisors Coon Rapids MN 11/2013 Present
Spire Coon Rapids MN 10/2013 Present
Osaic Institutions, Inc. Coon Rapids MN 07/2016 Present
  • 11/2013 → Present
    Securities America Inc
    Coon Rapids, MN
  • 11/2013 → Present
    Securities America Advisors
    Coon Rapids, MN
  • 10/2013 → Present
    Spire
    Coon Rapids, MN
  • 07/2016 → Present
    Coon Rapids, MN
Previous Registrations
  • 2014-07-07 → 2016-07-01
    Essex National Securities, Llc
    Coon Rapids, MN
    Princeton, MN
    Napa, CA
    Blain, MN
  • 2013-11-07 → 2014-07-24
    Securities America Advisors, Inc.
    Coon Rapids, MN
  • 2006-12-05 → 2013-10-29
    Columbus, OH
  • 2006-06-28 → 2006-12-05
    Nationwide Investment Services Corporation
    Wausau, WI
    Columbus, OH
    Dublin, OH
    Clearwater, MN
    Rice, MN
    Schofield, WI
    Dublin, OH
    Columbus, OH
    Santa Fe, NM
    York, PA
Other Businesses

1.) Owner of four single family homes. Homes are rental homes . 10% owner of a 78 unit apartment complex. 2.) Lockleed International, LLC. Not investment related. Placement agency that works with veterans and military spouses. CFO, Owner (24%). Started in Oct 2017. 3.) Champion Properties LLC. Not investment related. I buy and rent out homes and apartments. Owner/Member. Approx 2 hours per month.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-06-23
  • S66 Uniform Combined State Law Examination
    2006-06-23
Designations

View on SEC IAPD

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