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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-05-10 |
| MN | RA | APPROVED | 2023-03-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Us Bancorp Investments, Inc | Saint Paul | MN | 12/2015 | 04/2021 |
| Principal Life Insurance Company | Roseville | MN | 06/2021 | 08/2022 |
| Principal Securities Inc | Roseville | MN | 07/2021 | 08/2022 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Saint Paul | MN | 01/2023 | Present |
| Unemployed | Saint Paul | MN | 08/2022 | 01/2023 |
| Asia / Peso Event Security | St. Paul | MN | 08/2014 | 11/2018 |
| Bank Of America N.A. | Saint Paul | MN | 04/2023 | Present |
I*: 1408254 Entity Type: Charitable Name of OBA: Riverland Community Health Address: St Paul, MN 55102 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 09/01/2023 Number of Hours: 4 hrs mthly Number of Hours during trading: 0 Duties: Attend board meetings to discuss the operation and finances of the clinic. This is a volunteer position. I am a board member. I have no control over the finances or decisions of the clinic. This clinic has recently changed it's name from United Family Medicine to Riverland Community Health.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-03-15 |
| S63 | Uniform Securities Agent State Law Examination | 2016-04-15 |
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