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350 North 5Th Street Suite 1000, Minneapolis, MN 55401 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2019-05-09 |
Branch Locations
8701 Bee Cave Road Suite 200, Austin, TX 78746 • United States
350 North 5Th Street Main Office, Minneapolis, MN 55401 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Dougherty & Company Llc | Minneapolis | MN | 10/2014 | 02/2017 |
| B.C. Ziegler And Company | Chicago | IL | 02/2017 | 04/2019 |
| Piper Jaffray & Co. | Minneapolis | MN | 04/2019 | Present |
Name of Other Business: Catholic Charities Of The Archdiocese Of St Paul And Minneapolis Investment Related: Yes Address of Other Business: 1200 2nd Ave S, Minneapolis, MN Nature of Other Business: Catholic Charity Position: Board Member / Director Time devoted to the Business: 5 hours per Quarter Compensation: No, ; 0 percent of time commitment during trading hours; Start date of other business is 1/1/2025 Duties include: I have been asked to serve on the board of directors for this non-profit organization. I would like to accept the role effective on January 1, 2025.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-06-13 |
| S63 | Uniform Securities Agent State Law Examination | 2007-08-09 |
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