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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2025-03-10 |
Branch Locations
One North Jefferson Avenue Mail Code: H0004-05G, St. Louis, MO 63103 • UNITED STATES
90 S 7Th St 10Th & 11Th Fls, Minneapolis, MN 55402 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Life Insurance Company | Maple Grove | MN | 10/2015 | 02/2019 |
| Principal Securities, Inc | Maple Grove | MN | 10/2015 | 02/2019 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bloomington | MN | 02/2019 | 01/2021 |
| J.P. Morgan Chase Bank, N.A. | Minneapolis | MN | 01/2021 | 06/2022 |
| J.P. Morgan Securities, Llc | Minneapolis | MN | 01/2021 | 06/2022 |
| Principal Financial Group | Maple Grove | MN | 09/2015 | 02/2019 |
| Bank Of America | Bloomington | MN | 02/2019 | 01/2021 |
| Wells Fargo Clearing Services, Llc | Minneapolis | MN | 09/2024 | Present |
| Wells Fargo Clearing Services, Llc | Minneapolis | MN | 06/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2025-03-08 |
| S65 | Uniform Investment Adviser Law Examination | 2019-06-11 |
| S63 | Uniform Securities Agent State Law Examination | 2016-05-20 |
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