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600 Portland Avenue South, Minneapolis, MN 55415 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2024-07-09 |
| AL | RA | APPROVED | 2024-04-30 |
Branch Locations
3100 Lorna Rd, Birmingham, AL 35216 • United States
Owenton, KY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank, Na | Eagle | ID | 08/2017 | 02/2022 |
| Wells Fargo Clearing Services, Llc | Eagle | ID | 10/2018 | 02/2022 |
| Target | Boise | ID | 05/2017 | 08/2017 |
| Tucson Ferderal Credit Union | Tucson | AZ | 10/2016 | 03/2017 |
| Wells Fargo Bank | Tucson | AZ | 11/2012 | 10/2016 |
| Flagstar Bank | Fort Wayne | IN | 03/2022 | 02/2024 |
| Infinex Investments, Inc. | Meriden | CT | 11/2022 | 01/2024 |
| Lpl Financial Llc | Fort Wayne | IN | 02/2024 | 02/2024 |
| Thrivent Investment Management Inc | Birmingham | AL | 04/2024 | Present |
| Tom Noon - Thrivent | Birmingham | AL | 02/2024 | 08/2024 |
| Tom Noon - Thrivent | Birmingham | AL | 08/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-05-13 |
| S63 | Uniform Securities Agent State Law Examination | 2019-03-19 |
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