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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2017-01-18 |
| TX | RA | APPROVED | 2017-01-18 |
Branch Locations
250 Nicollet Mall Suite 2000, 16Th Floor, Minneapolis, MN 55401-1931 • United States
Ham Lake, MN • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Minneapolis | MN | 11/2008 | 01/2017 |
| Bank Of America, N.A. | Minneapolis | MN | 11/2009 | 01/2017 |
| Rbc Capital Markets, Llc | Minneapolis | MN | 01/2017 | Present |
(1) TMS, LLC; ADDRESS: 5520 CHANTREY RD., EDINA, MN 55436; BUSINESS DESCRIPTION: INVESTMENT VEHICLE; NOT INVESTMENT RELATED; START DATE: 09/07/2017; CAPACITY: OWNER-PASSIVE; DUTIES: 1/3 INVESTOR; HOURS DEVOTED PER MONTH: <1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: NONE
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-02-23 |
| S63 | Uniform Securities Agent State Law Examination | 2005-09-22 |
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