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225 South Sixth Street Suite 1400, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2024-02-12 |
| MN | RA | APPROVED | 2014-01-23 |
Branch Locations
225 South Sixth Street Suite 1400, Minneapolis, MN 55402 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Purshe Kaplan Sterling Investments | Albany | NY | 10/2013 | 11/2016 |
| Northrock Partners, Llc | Minneapolis | MN | 10/2013 | Present |
1) MAINTAINS CURRENT MN INSURANCE LICENSES. 2) SOIGNE HOSPITALITY GROUP; YES INVESTMENT RELATED; 222 NORTH 2ND STREET, SUITE 300, MINNEAPOLIS, MN 55401; NATURE OF THE BUSINESS IS A RESTAURANT; MEMBER OF THE BOARD OF DIRECTORS AND AN INVESTTOR; RELATIONSHIP STARTED IN JULY 2022; APPROXIMATELY 1 HOUR A MONTH IS DEVOTED TO THIS BUSINESS. 3) ARROW GIVING FOUNDATION (FKA ASHBY COMMUNITY SCHOLARSHIP FUND); THIS IS NOT INVESTMENT RELATED; THE NATURE OF THE BUSINESS IS AN EDUCATIONAL FOUNDATION; POSITION IS FOUNDER AND PRESIDENT OF THE BOARD; RELATIONSHIP STARTED IN 2014 AS ASHBY COMMUNITY SCHOLARSHIP FUND AND CHANGED TO ARROW GIVING FOUNDATION IN 2015; APPROXIMATELY 5 HOURS A MONTH IS DEVOTED TO THIS BUSINESS. 4) ASHBY LEGACY FUND; EDUCATION FOUNDATION; FOUNDER AND BOARD MEMBER. 5) STAR TRIBUNE PENSION BOARD; NEW ORGANIZATION EMPLOYER PENSION BOARD; BOARD MEMBER. 6)THE TAYLOR FOUNDATION; BUSINESS IS NOT INVESTMENT RELATED; NATURE OF THE BUSINESS IS A FAMILY FOUNDATION; POSITION IS BOARD MEMBER; POSITION STARTED IN 2023; APPROXIMATELY 2 HOURS A MONTH DEVOTED TO THIS BUSINESS
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1993-06-17 |
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