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Maple Grove, MN • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2016-05-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Dlw Financial Management, Llc | Rochester | MN | 12/2012 | Present |
1. 8/24/07 - DBA/ZURICH AWES WEALTH MANAGEMENT, INC./PLYMOUTH, MN. 2. 03/17/09 - NON-VARIABLE INSURANCE, ZURICH AWES FINANCIAL MANAGEMENT, INC. I AM LOOKING FO PLACE THE ABOVE NON-VARIABLE PRODUCTS WITH THE CLIENTS OF ZURICH AWES FINANCIAL MANAGEMENT, INC. I AM LICENSED IN MN AND WI FOR INSURANCE. 1% OF TIME. 3.01/27/2010 - REGISTERED INVESTMENT ADVISOR- ZURICH AWES FINANCIAL MANAGEMENT, INC.TO DATE I HAVE NOT PROVIDED FINANCIAL PLANS OR ADVISE FOR HOURLY OR FIXED FEES AND DO NOT ANTICIPATE DOING SO IN THE FUTURE. IF I DO IT WILL BE MANAGED UNDER THE GUIDELINES OF ZURICH AWES FINANCIAL MANAGEMENT, INC. AND LPL FINANCIAL, 10% OF THE TIME 4. 01/13/2013 DLW FINANCIAL MANAGEMENT, LLC A REGISTERED INVESTMENT ADVISER LOCATED AT 1432 12TH AVE NE, ROCHESTER, MN 55906. POSITION IS PRESIDENT AND REGISTERED INVESTMENT ADVISOR FOR 100% OF THE TIME.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-04-10 |
| S63 | Uniform Securities Agent State Law Examination | 1992-08-17 |
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