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849 Lake Street East, Wayzata, MN 55391 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2024-10-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pruco Securities Llc Form | St. Louis Park | MN | 06/2015 | 07/2019 |
| The Prudential Insurance Company Of America | St Louis Park | MN | 09/2015 | 07/2019 |
| Wells Fargo Bank, Na | Lakeville | MN | 07/2019 | 09/2024 |
| Wells Fargo Clearing Services, Llc | Lakeville | MN | 08/2019 | 09/2024 |
| Lpl Financial Llc | Wayzata | MN | 10/2024 | Present |
| 360 Financial | Wayzata | MN | 10/2024 | Present |
| 360 Financial | Wayzata | MN | 09/2024 | Present |
| Independent Insurance Agent | Wayzata | MN | 06/2015 | Present |
1 - 09/20/2024 - 360 Financial - DBA for LPL Business (entity for LPL business) - Inv Related - 160 Hours/Month - 40 Hours During Trading - At reported business location(s). 2 - 10/22/2024 - 360 Financial - Registered Investment Advisor Hybrid - IAR - Investment Related - At Reported Business Location(s) - Start Date 09/23/2024 - 120 Hours Per Month/ 40 Hours During Trading - I provide investment advisory services through 360 Financial, an independent investment advisor firm. I started this business activity in 9/2024. I expect to spend approximately 120 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-09-01 |
| S63 | Uniform Securities Agent State Law Examination | 2015-08-19 |
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