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720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2022-02-04 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bank Of America, N.A. | Seattle | WA | 12/2017 | 11/2018 |
| Laird Norton Wealth Management | Seattle | WA | 09/2021 | 02/2022 |
| Ameriprise | Edmonds | WA | 06/2021 | 08/2021 |
| Viridian Investment Management | Bothell | WA | 11/2018 | 06/2021 |
| Merrill Lynch | Seattle | WA | 03/2017 | 11/2018 |
| Axa Advisors | Seattle | WA | 08/2016 | 03/2017 |
| Minh Ngo | Seattle | WA | 01/2022 | Present |
| Ryan Kraut | Seattle | WA | 01/2022 | Present |
| Northwestern Mutual Investment Services Llc | Seattle | WA | 01/2022 | Present |
1. KPN INSURANCE SERVICES, LLC, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 10/02/2025, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED. 2. ATLANTIC COAST HOLDING CO., LLC, LEGAL ENTITY, START DATE: 1/1/2026, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2021-07-30 |
| S66 | Uniform Combined State Law Examination | 2017-07-07 |
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