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600 Portland Avenue South, Minneapolis, MN 55415 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2025-04-22 |
| TX | RA | APPROVED | 2025-04-22 |
| WI | RA | APPROVED | 2025-04-22 |
Branch Locations
4321 North Ballard Road, Ste A1-Glag, Appleton, WI 54919 • United States
Austin, MN • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pruco Securities, Llc | Appleton | WI | 04/2015 | 12/2016 |
| The Prudential Insurance Company Of America | Appleton | WI | 04/2015 | 12/2016 |
| Jp Morgan Securities Llc | Oshkosh | WI | 12/2016 | 06/2018 |
| Jp Morgan Chase Bank | Oshkosh | WI | 12/2016 | 06/2018 |
| Lakeland University | Neenah | WI | 05/2015 | 06/2018 |
| Thrivent Investment Management Inc | Appleton | WI | 06/2018 | Present |
| Thrivent Financial | Appleton | WI | 06/2018 | 05/2019 |
| Thrivent Financial | Appleton | WI | 05/2019 | 07/2019 |
| Thrivent Financial | Appleton | WI | 07/2019 | Present |
STATE OF WISCONSIN POSITION: Notary Public NATURE: Notary Public services for few select associates INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 03/30/2017 ADDRESS: 1299 Hoot Owl Ct, Neenah WI 54956, United States DESCRIPTION: only as required ICONIC LLC POSITION: Owner NATURE: Youth Soccer coaching INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2019 ADDRESS: 1299 Hoot Owl Ct, Neenah WI 54956, United States DESCRIPTION: Personal soccer skills training DAWN CAPITAL POSITION: Vice President NATURE: The African diaspora community in NE Wisconsin decided to form a partnership of families to promote an Afrocentric group for social cooperation, promoting & supporting our business events and providing financial assistance to members as agreed in our organizational policies. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2020 ADDRESS: 306 Morning Sun Dr, Appleton WI 54913, United States DESCRIPTION: Assist the President with activities and events as needed. Community engagement to advertise upcoming events Fund raising THE FAMILY RADIO STATION POSITION: Member Board of Directors NATURE: Christian Radio Station INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2022 ADDRESS: 1909 W 2nd Street, Appleton WI 54914, United States DESCRIPTION: Quarterly oversight meetings to ensure that the station is being run within the prescribed by-laws and organizational statutes and objectives. This is a voluntary position for an initial period of up to 3 years. This may be extended for up to 6 years.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2025-04-02 |
| S63 | Uniform Securities Agent State Law Examination | 2015-07-02 |
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