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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-03-25 |
| MN | RA | APPROVED | 2019-01-09 |
Branch Locations
324 W. Superior Street Suite 1000, Duluth, MN 55802 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Johnson Brother Liquor Company | St Paul | MN | 12/2014 | 08/2017 |
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 08/2017 | 02/2018 |
| Northwestern Mutual Investment Services Llc | Duluth | MN | 08/2017 | 02/2018 |
| Wheeler Associates | Duluth | MN | 10/2018 | Present |
| Commonwealth Financial Network | San Diego | CA | 03/2018 | 10/2018 |
| Degraaf Financial | Duluth | MN | 10/2019 | Present |
| Commonwealth Financial Network | San Diego | CA | 01/2022 | Present |
| Commonwealth Financial Network | San Diego | CA | 10/2018 | 12/2021 |
Fixed insurance sales; as of 03/23/2018; Approximately 5% time spent during securities trading hours per month; Conducted at branch location; Investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-06-22 |
| S63 | Uniform Securities Agent State Law Examination | 2017-11-16 |
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