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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2023-11-30 |
| TX | RA | APPROVED | 2023-11-30 |
Branch Locations
4707 Executive Dr, San Diego, CA 92121-3091 • United States
6240 Highway 65 Ne, Suite 208, Fridley, MN 55432 • United States
6240 Highway 65 Ne Suite 208, Fridley, MN 55432 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Finnegan Financial Services | Minneapolis | MN | 01/2004 | 11/2023 |
| Sagepoint Financial, Inc. | Forest Lake | MN | 10/2015 | 09/2023 |
| Osaic Wealth, Inc. | Fridley | MN | 09/2023 | 11/2023 |
| Lpl Financial Llc | Fridley | MN | 11/2023 | Present |
1) 10/2023 - PATHWISE FINANCIAL SERVICES - Non-Variable Insurance - Inv. Related - Fridley, MN - Agent Selling Insurance- Start Date 11/27/2023 - 130hrs/month - 100% time spent 2) 10/2023 - PATHWISE FINANCIAL SERVICES - DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s) - 130hrs/month - 100% time spent 3) 10/2023 - Pathwise Financial Services - Notary - Inv. related - Fridley, MN - Notary - Start Date 11/27/2023 - 130hrs/month - 100% time spent 4) 10/2023 - PATHWISE WEALTH MANAGEMENT INC. - Business Entity For Tax/Investment Purposes Only - Non-inv. Related - Blaine, MN - Owner - Start Date 11/27/2023 - 130hrs/month - 100% time spent
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-03-14 |
| S63 | Uniform Securities Agent State Law Examination | 1998-06-17 |
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