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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2023-06-29 |
| TX | RA | APPROVED | 2023-06-29 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Independent Insurance & Financial | Richmond | MN | 12/2002 | 11/2022 |
| The Managed Assets Group | Paynesville | MN | 01/2005 | 09/2017 |
| Affiliated Financial And Insurance Services | Richmond | MN | 02/2012 | 11/2022 |
| Voya Financial Advisors | Richmond | MN | 09/2014 | 06/2021 |
| Cetera Wealth Services, Llc | El Segundo | CA | 06/2021 | Present |
| Transition Financial Solutions | Richmond | MN | 10/2017 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
NAME OF ENTITY:Clint Athmann; Yes; 365TH ST N; BROWERVILLE; MN; 56438; Land Investment; Part Owner; 8/1/2002; 0; 0; General maintenance of property. Part of property is farmed. Remaining is used for recreational activities.|NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 149 MAIN ST WEST; RICHMOND; MN; 56368; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 1/1/2002; 160; 160; SALES OF FIXED INSURANCE PRODUCTS|NAME OF ENTITY:TRANSITION FINANCIAL SOLUTIONS LLC; Yes; 149 MAIN ST WEST; RICHMOND; MN; 56368; FINANCIAL SEVICES/DBA; OWNER/FINANCIAL ADVISOR; 10/1/2017; 160; 140; SALE AND SERVICE INSURANCE,SECURITIES AND INVESTMENT PRODUCTS.|
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-09-07 |
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