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2300 North Ridgetop Road, Santa Fe, NM 87506 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NM | RA | APPROVED | 2026-04-20 |
| MN | RA | APPROVED | 2026-04-17 |
Branch Locations
2300 North Ridgetop Road, Santa Fe, NM 87506 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| John Hancock Funds, Llc | Boston | MA | 01/2003 | 09/2022 |
| John Hancock Advisers Llc | Prior Lake | MN | 01/2003 | 09/2022 |
| Sovereign Asset Management Corp | Prior Lake | MN | 01/2003 | 06/2019 |
| John Hancock Advisers, Llc | Boston | MA | 11/2018 | 09/2022 |
| Hartford Funds Distributors, Llc | Wayne | PA | 05/2023 | 03/2026 |
| Unemployed | Mound | MN | 10/2022 | 04/2023 |
| Hartford Funds Management Company, Llc | Wayne | PA | 05/2023 | 03/2026 |
| Thornburg Investment Management | Santa Fe | NM | 04/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-02-07 |
| S63 | Uniform Securities Agent State Law Examination | 1996-11-05 |
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