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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2025-02-24 |
| TX | RA | APPROVED | 2021-11-17 |
| MN | RA | APPROVED | 2021-10-29 |
Branch Locations
350 N. Main Street Suite 106, Stillwater, MN 55082-7055 • United States
New Richmond, WI • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Express | Woodbury | MN | 08/2019 | 05/2020 |
| Short Dance Studios | Inver Grove Heights | MN | 06/2017 | 06/2020 |
| Royal Bank Of Canada Wealth Management | Minneapolis | MN | 06/2019 | 05/2020 |
| General Sams | Somerset | WI | 05/2016 | 01/2018 |
| Somerset School District | Somerset | WI | 05/2010 | 05/2017 |
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 06/2020 | 10/2020 |
| Northwestern Mutual Investment Services Llc | Minneapolis | MN | 08/2020 | 10/2020 |
| Rbc Capital Markets, Llc | Stillwater | MN | 11/2020 | Present |
1) NAME: Empower Survivors Non-Investment Related ADDRESS:815 Oak Street West Stillwater, MN 55082 Nature of OBA: Non-Profit Position/title/Relationship: Treasurer Start Date: 08/01/22 Time Devoted: 1 hour; 0 during securities trading time Duties: Keep book - present monthly our inflows and outflows. Meet monthly with the board. If there are events, I would help plan/run it.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-10-28 |
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