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600 Portland Avenue South, Minneapolis, MN 55415 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2023-07-07 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Holland Hills Cc | Colden | NY | 08/2016 | 10/2016 |
| Principal Securities Inc | Amherst | NY | 10/2016 | 12/2016 |
| Saybrus Equity Services | Hartford | CT | 12/2016 | 02/2018 |
| Saybrus Partners | Hartford | CT | 12/2016 | 02/2018 |
| Simplicity Financial Distributors | Hartford | CT | 02/2018 | 12/2020 |
| Simplicity Financial Investment Services, Inc. | Summit | NJ | 11/2019 | 12/2020 |
| Principal Financial Group | Amherst | NY | 10/2020 | 12/2020 |
| Principal Life Insurance Co | Amherst | NY | 12/2020 | 07/2023 |
| Principal Securities Inc | Amherst | NY | 12/2020 | 07/2023 |
| Wealth Management Services, Llc | Amherst | NY | 05/2021 | 07/2023 |
| Thrivent Investment Management Inc | Minneapolis | MN | 07/2023 | Present |
| Thrivent Financial | Appleton | WI | 07/2023 | 11/2023 |
| Thrivent Financial | Appleton | WI | 11/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-03-19 |
| S63 | Uniform Securities Agent State Law Examination | 2020-10-06 |
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