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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2017-11-13 |
Branch Locations
901 3Rd Ave S, Minneapolis, MN 55402-3367 • United States
Lakeville, MN • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Minneapolis | MN | 01/2008 | 10/2017 |
| American Enterprise Investment Services Inc | Minneapolis | MN | 10/2017 | 06/2023 |
Name of Activity: WALLIN EDUCATION PARTNERS; Date Activity Started/Modified/Ended: 4/23/2019; Type of Activity: Non-Profit - ; Role/Relationship: Board Of Directors; Responsibilities: VP OUTREACH-STRATEGICALLY INCREASE ALUMNI AND CURRENT SCHOLARS ENGAGEMENT & MONETARY CONTRIBUTIONS TO THE WALLING EDUCATION PARTNERS PROGRAM; Income Per Year: NO INCOME; Total Hours Per Month: 0 - 20; Total Hours Per Month During Trading Hours: 0 - 20; Does this activity include providing investment advice, conducting securities trading or managing the assets of others? No - ; --- END --- Name of Activity: NorthStar Education Finance, Inc. (NEF); Date Activity Started/Modified/Ended: 4/10/2023; Type of Activity: Non-Profit; Role/Relationship: Board Of Directors; Responsibilities: Associate Audit Committee Board Member - Monitor and update Northstar's accounting and financial reporting.; Total Hours Per Month: 0 - 20; Total Hours Per Month During Trading Hours: 0 - 20; Does this activity include providing investment advice, conducting securities trading or managing the assets of others? No; --- END --- Name of Activity: Not Half Bad Bakehouse ?; Date Activity Started/Modified/Ended: 1/24/2022; Type of Activity: Retail Sales; Role/Relationship: Partner; Responsibilities: Baking and Cleaning; Total Hours Per Month: 21 - 40; Total Hours Per Month During Trading Hours: 0 - 20; Does this activity include providing investment advice, conducting securities trading or managing the assets of others? No; --- END ---
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-07-02 |
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