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Current Employers
Confluence Investment Management Llc

20 Allen Avenue, Ste 300, Saint Louis, MO 63119 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2020-07-29
  • IL RA
    APPROVED
    Since 2020-07-29

Branch Locations

20 Allen Avenue Suite 300, Webster Groves, MO 63119 • 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
Tortoise Credit Strategies, Llc Leawood KS 06/2016 03/2020
Confluence Investment Mangagement Llc Webster Groves MO 07/2020 Present
Sabatical Chicago IL 03/2020 07/2020
  • 06/2016 → 03/2020
    Tortoise Credit Strategies, Llc
    Leawood, KS
  • 07/2020 → Present
    Confluence Investment Mangagement Llc
    Webster Groves, MO
  • 03/2020 → 07/2020
    Sabatical
    Chicago, IL
Previous Registrations
  • 2016-06-24 → 2020-07-21
    Tortoise Credit Strategies, Llc
    Aurora, IL
    Leawood, KS
  • 2011-01-13 → 2016-06-21
    Bradford & Marzec, Llc
    Los Angeles, CA
  • 2001-07-05 → 2007-11-20
    Naperville, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-05-22
S63 Uniform Securities Agent State Law Examination 2000-10-13
  • S65 Uniform Investment Adviser Law Examination
    2001-05-22
  • S63 Uniform Securities Agent State Law Examination
    2000-10-13

View on SEC IAPD

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