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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2019-09-23 |
Branch Locations
250 Nicollet Mall Suite 2000, 16Th Floor, Minneapolis, MN 55401-1931 • United States
Monticello, MN • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Leaders Group Inc | Littleton | CO | 01/2014 | 03/2018 |
| Rbc Capital Markets, Llc. | Minneapolis | MN | 09/2019 | Present |
| U.S. Bancorp Investment, Inc. | Minneapolis | MN | 03/2018 | 09/2019 |
| Us Bank | Minneapolis | MN | 08/2018 | 09/2019 |
(1) Minority owner (less than 5%) of MBG Acquisitions, LLC (MBG). MBG is a Brokerage General Agency (insurance - life, disability, long-term care). I spend no time on MBG business, I am not involved in any business operations of MBG in any way. I receive renewal commissions on past individual sales production only, no other income or distributions are received. I am currently working with my legal representation and seeking a redemption agreement with MBG. (2) NAME OF ENTITY: United FC Rush Soccer Club ADDRESS: 5964 Main Ave NE PO Box 211 Albertville MN 55301 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Foundation/Charitable Institution START DATE: 30/08/2025 CAPACITY: Other DUTIES: Head Coach - coaching U12 boys team. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-01-30 |
| S63 | Uniform Securities Agent State Law Examination | 1996-06-27 |
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