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600 Portland Avenue South, Minneapolis, MN 55415 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2026-08-11 |
| CT | RA | APPROVED | 2023-08-23 |
| MN | RA | APPROVED | 2023-04-11 |
Branch Locations
600 Portland Ave S, Minneapolis, MN 55415 • United States
Boston, MA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northern Trust Bank | Hoboken | NJ | 04/2016 | 09/2018 |
| Northern Trust Securities, Inc. | Hoboken | NJ | 05/2016 | 09/2018 |
| Wbi Investments | Red Bank | NJ | 05/2019 | 12/2019 |
| O'SHares Etf Investments | Hoboken | NJ | 01/2021 | 01/2022 |
| Foreside Fund Services | Hoboken | NJ | 02/2021 | 01/2022 |
| Unemployed | Hoboken | NJ | 04/2020 | 12/2020 |
| Wbi Investments | Red Bank | NJ | 05/2019 | 04/2020 |
| Foreside Fund Services | Red Bank | NJ | 05/2019 | 12/2019 |
| Millington Securities | Red Bank | NJ | 01/2020 | 04/2020 |
| Unemployed | Hoboken | NJ | 10/2018 | 04/2019 |
| Northern Trust Asset Management | Hoboken | NJ | 04/2016 | 09/2018 |
| Northern Trust Securities | Hoboken | NJ | 05/2016 | 09/2018 |
| Thrivent Investment Management Inc | Minneapolis | MN | 01/2022 | Present |
| Thrivent Financial | Appleton | WI | 01/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-01-28 |
| S66 | Uniform Combined State Law Examination | 2009-07-02 |
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