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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ND | RA | APPROVED | 2020-10-13 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mass Mutual Life Insurance Company | Fargo | ND | 01/2020 | Present |
| Mml Investors Services, Llc | Fargo | ND | 01/2020 | Present |
| Korber Medipak Systems North America | Fargo | ND | 09/2019 | 01/2020 |
| Enterprise Holdings | Fargo | ND | 05/2019 | 08/2019 |
| Urban Properties | Fargo | ND | 10/2017 | 04/2019 |
| American Gold Gymnastics | Fargo | ND | 09/2015 | 10/2021 |
| North Dakota State University | Fargo | ND | 07/2015 | 05/2020 |
| Harmon Entertainment | West Fargo | ND | 05/2015 | 12/2022 |
(1) NAME: NATHAN KAISER, INV REL: Y ADDR: AT RESIDENTIAL ADDRESS ON RECORD NATURE: SIMPLE RENTAL PROPERTY POSITION: OWNER START:5/1/2020 NO HR/MO:6 NO HR/MO DUR TRADING: 0 (2) NAME: RED RIVER FINANCIAL, INV REL: Y, ADD: 3186 SIENNA DR S, FARGO, ND 58104 NATURE: OUTSIDE INSURANCE SALES, POSITION: INSURANCE BROKER, START DATE: 8/1/2024, NO. HR/MO: 2, NO. HR/MO DURING SEC TRADING: 2, DUTIES: LIFE, DISABILITY, LONG-TERM CARE, FIXED ANNUITIES
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-09-21 |
| S63 | Uniform Securities Agent State Law Examination | 2020-06-05 |
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