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Current Employers
Principal Securities, Inc.

711 High Street, Des Moines, IA 50392 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-06-15
MN RA APPROVED 2020-11-10
  • TX RA
    APPROVED
    Since 2021-06-15
  • MN RA
    APPROVED
    Since 2020-11-10

Branch Locations

8530 Eagle Point Blvd Ste 125, Lake Elmo, MN 55042 • United States

11100 Wayzata Blvd Ste 405, Minnetonka, MN 55305 • United States

3812 8Th St N Ste 100, Saint Cloud, MN 56303 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Thrivent Investment Management Inc Burnsville MN 11/2004 06/2020
Thrivent Financial For Lutherans Appleton WI 11/2004 06/2020
Unemployed Minneapolis MN 06/2020 11/2020
Principal Securities Inc Minnetonka MN 11/2020 Present
Scott Wealth Planning Minnetonka MN 11/2020 Present
Principal Life Insurance Company Minnetonka MN 01/2021 Present
  • 11/2004 → 06/2020
    Burnsville, MN
  • 11/2004 → 06/2020
    Thrivent Financial For Lutherans
    Appleton, WI
  • 06/2020 → 11/2020
    Unemployed
    Minneapolis, MN
  • 11/2020 → Present
    Minnetonka, MN
  • 11/2020 → Present
    Scott Wealth Planning
    Minnetonka, MN
  • 01/2021 → Present
    Principal Life Insurance Company
    Minnetonka, MN
Previous Registrations
  • 2004-12-14 → 2020-07-16
    Burnsville, MN
    Hastings, MN
    Shakopee, MN
    Appleton, WI
    Minneapolis, MN
    Minneapolis, MN
    River Falls, WI
    Shakopee, MN
    River Falls, WI
    Prescott, WI
    Prescott, WI
Other Businesses

***Fixed Insurance; Investment Related; Minnetonka, MN; Broker; Fixed Life, DI, LTC, Health, Group Benefits, Medical Supplement; Start Date: 11/02/2020; 10 hrs per month; 10 during trading hours.***Scott Wealth Planning LLC; Not Investment Related; Minnetonka, MN; Administration; Client relationship management, customer services, business processing, preparing reports, conduct client reviews, build profiles and manage CRM; Start Date: 12/03/2020; 160 hrs per month; 160 during trading hours. CONLON & SCOTT POSITION: Partner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/05/2023 ADDRESS: 11100 Wayzata Blvd Suite 405, Minnetonka MN 55305, United States DESCRIPTION: Ryan Scott and I formed an LLC because we purchased two books of business together and formed an operating agreement. This LLC will not directly connect any revenue and is for partnership purposes only.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-12-13
  • S66 Uniform Combined State Law Examination
    2004-12-13
Designations
Other Names
  • Mike Patrick Conlon

View on SEC IAPD

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