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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ND | RA | APPROVED | 2020-07-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bancwest Investment Services, Inc. | Fargo | ND | 05/2006 | 05/2019 |
| First International Bank & Trust | Fargo | ND | 05/2019 | 07/2020 |
| Lpl Financial Llc | Fargo | ND | 07/2019 | 07/2020 |
| First Western Bank And Trust | West Fargo | ND | 07/2020 | Present |
| Cetera Investment Advisers Llc | West Fargo | ND | 07/2020 | Present |
| Cetera Investment Services Llc | St. Cloud | MN | 07/2020 | Present |
1. FIRST WESTERN BANK & TRUST, TRUST OFFICER, ANNUAL REVIEWS OF PLANS FOR BUSINESSES, NO INVESTMENT DECISIONS, DOES NOT PARTICIPATE IN THE EXECUTION OF TRANSACTIONS OR RECOMMENDATIONS OF SPECIFIC INVESTMENT PORTFOLIOS
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-05-11 |
| S63 | Uniform Securities Agent State Law Examination | 2004-06-21 |
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