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290 Congress Street, Boston, MA 02210 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MO | RA | APPROVED | 2022-01-28 |
| KS | RA | APPROVED | 2021-10-12 |
Branch Locations
290 Congress Street, Boston, MA 02210 • United States
Meriden, KS • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Waddell & Reed Inc | Overland Park | KS | 09/2010 | 01/2019 |
| Ivy Funds Distributor Inc | Overland Park | KS | 09/2013 | 01/2019 |
| Columbia Management Investment Distributors, Inc. | El Dorado Hills | CA | 01/2019 | Present |
Name of Activity: Ozawkie-Meriden Public Library; Date Activity Started/Modified/Ended: 9/15/2022; Type of Activity: Non-Profit; Role/Relationship: Board Of Directors; Responsibilities: Organizing fundraising events to build new library building alongside other board members. Will not be involved in investing library funds; Total Hours Per Month: 0 - 20; Total Hours Per Month During Trading Hours: 0 - 20; Does this activity include providing investment advice, conducting securities trading or managing the assets of others? No; --- END ---
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-02-10 |
| S63 | Uniform Securities Agent State Law Examination | 2016-02-03 |
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