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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-06-01 |
| MN | RA | APPROVED | 2022-03-23 |
Branch Locations
641 Lake St. E. Suite 230, Wayzata, MN 55391 • United States
Bloomington, MN • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Wayzata | MN | 10/2018 | 08/2021 |
| Victory Capital Management | New York | NY | 09/2007 | 09/2018 |
| Boulay Financial Advisors | Eden Prairie | MN | 09/2021 | 03/2022 |
| Rbc Capital Markets, Inc | Minneapolis | MN | 03/2022 | Present |
(1) NAME OF ENTITY: Alpha Gamma Delta ADDRESS: 401 11th Ave SE Minneapolis, MN 55414 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Sorority at University of Minnesota CAPACITY: Other START DATE: 09/30/22 DUTIES: Attend monthly meeting in the evening with other advisors to discuss undergraduate chapter goals for members; meet with undergraduates who are struggling to keep a 2.5 GPA to come up with a scholarship improvement plan; host study parties at the sorority house for undergraduates surrounding midterms and finals HOURS DEVOTED PER MONTH: 2 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (2) NAME OF ENTITY: Alpha Gamma Delta Fraternity Inc ADDRESS: 401 11th Ave SE Minneapolis MN 55414 INVESTMENT/NOT INVESTMENT RELATED: No DESCRIPTION: Private Company START DATE: Oct 01, 2024 CAPACITY: Other DUTIES: I would like to accept the position of Substitute House Director. This position is responsible for living in the on-site sorority house when the actual House Director is on vacation and/or has a family emergency. The role is responsible for being at the house during non-business hours (7pm-7am) to deal with any issues at the physical property that may come up and to be the adult non-collegiate on-site for the sorority members. WORKING TIME: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-05-20 |
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