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901 Marquette Avenue Suite 2500, Minneapolis, MN 55402-3211 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2024-11-25 |
Branch Locations
901 Marquette Avenue Suite 2500, Minneapolis, MN 55402 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Black Creek Capital Markets, Llc | Denver | CO | 04/2018 | 01/2021 |
| Lasalle Investment Management Distributors, Llc | Chicago | IL | 04/2015 | 04/2018 |
| Pacific Oak Capital Markets, Llc | Costa Mesa | CA | 06/2021 | 04/2023 |
| Unemployed | River Vale | NJ | 02/2021 | 05/2021 |
| Thrivent Distributors Llc | Minneapolis | MN | 03/2024 | Present |
| Unemployed | River Vale | NJ | 04/2023 | 04/2024 |
| Thrivent Financial | Appleton | WI | 04/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-11-21 |
| S65 | Uniform Investment Adviser Law Examination | 1996-11-19 |
| S63 | Uniform Securities Agent State Law Examination | 1992-02-13 |
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