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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2024-06-14 |
| TX | RA | APPROVED | 2024-06-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Edward Jones | Saint Louis | MO | 01/2020 | 10/2021 |
| Dynamic Lifecycle Innovations | Onalaska | WI | 09/2017 | 01/2020 |
| J.F. Brennan Company | La Crosse | WI | 01/2015 | 09/2017 |
| Securities America, Inc. | Winona | MN | 10/2021 | 06/2024 |
| Securities America Advisors | Winona | MN | 10/2021 | 06/2024 |
| Osaic Wealth, Inc. | Winona | MN | 06/2024 | Present |
1. DBA - Merchants Investment Services 2. FAMILY FARM POSITION: Owner/Manager NATURE: My brother and I own our family farm - roughly 80 acres. There is agricultural land and woodlands. We periodically log the woodland and the agricultural land is rented to another local farmer. We allow family to live at the house at no cost. Profit is roughly net neutral after taxes, insurance, and upkeep expenses. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2020 ADDRESS: 10543 County 10, Caledonia MN 55921 DESCRIPTION: This is a family farm that we allow our parents to live at no cost. Agricultural land and woodlands produce revenue; however, after taxes, insurance, and expenses the profit is roughly net neutral. 3. MERCHANTS BANK POSITION: Investment Executive NATURE: This is the bank I work for. Commissions run through Merchants Bank. I am a W-2 employee with them. I do not conduct any banking activity however, I only conduct investment activity with Osaic under the Merchants Investment Services DBA. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/25/2021 ADDRESS: 102 E 3rd Street, Winona MN 55987, United States DESCRIPTION: Act as an investment professional. I have no duties or banking activities. I only operate as an investment advisor rep and broker dealer representative with Osaic on the premises of the bank. I am a bank employee but my duties are solely as an independent rep with Osaic. We do not have access to bank systems.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-05-15 |
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