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2135 Citygate Lane 7Th Floor, Naperville, IL 60563 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2022-06-28 |
| MN | RA | APPROVED | 2022-06-23 |
Branch Locations
2135 Citygate Lane 7Th Floor, Naperville, IL 60563 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Gwg Holdings | Minneapolis | MN | 10/2016 | 01/2019 |
| Dillard's Department Store | Lincoln | NE | 09/2015 | 10/2016 |
| Emerson Equity Llc | San Mateo | CA | 10/2016 | 01/2019 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | St. Paul | MN | 07/2019 | 06/2022 |
| Pma Securities, Llc | St. Louis Park | MN | 06/2022 | Present |
| Pma Financial Network, Llc | Naperville | IL | 06/2022 | Present |
| Pma Asset Management, Llc | Naperville | IL | 06/2022 | Present |
| Unemployed | Minneapolis | MN | 01/2019 | 06/2019 |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-08-16 |
| S63 | Uniform Securities Agent State Law Examination | 2016-12-29 |
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