Tanner Steffan

Current Employers

Employment History

• 02/2018 → 09/2023
  Securities America, Inc.
  Dickinson, ND
• 04/2016 → Present
  Dakota Community Bank & Trust
  Dickinson, ND
• 01/2019 → 09/2023
  Securities America Advisors
  Dickinson, ND
• 09/2023 → Present
  Principal Life Insurance Company
  Dickinson, ND
• 09/2023 → Present
  Principal Life Securities, Inc.
  Dickinson, ND
• 10/2023 → Present
  Dakota Community Investments
  Dickinson, ND

Previous Registrations

• 2019-01-07 → 2023-10-02
  Securities America Advisors, Inc.
  Dickinson, ND

Other Businesses

**OUTSIDE INSURANCE POSITION: Outside Insurance NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 10/02/2023 ADDRESS: 14 3rd Ave W, Dickinson ND 58601, United States DESCRIPTION: Writing life, DI, LTC, Health, Group Life & Health, and Annuities through various carriers. **ST JOHNS ENDOWMENT FUND POSITION: Vice President NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 5 START DATE: 03/01/2021 ADDRESS: 146 6th Ave W, Dickinson ND 58601, United States DESCRIPTION: Vice President of St John Endowment Fund. No check writing. Do not direct investment decisions. Committee directs where funds will be distributed each year to different local organizations. **TRUST AND WEALTH RELATIONSHIP MANAGER POSITION: Trust and Wealth Relationship Manager NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 40 START DATE: 02/01/2018 ADDRESS: 14 3rd Ave W, Dickinson ND 58601, United States DESCRIPTION: Administrative duties in the Trust Department. Meeting with customers regarding new account paperwork or account questions. Investment committee meetings where we review recommended model changes made by our third party investment firm, FCI Advisors. Investment recommendations are for our investment models we offer, not directly with individual clients. **BANK EMPLOYEE / Dakota Community Bank and Trust POSITION: Financial Advisor NATURE: Bank Employee INVESTMENT RELATED: Yes NUMBER OF HOURS: 173 SECURITIES TRADING HOURS: 6 START DATE: 02/01/2018 ADDRESS: 14 3rd Ave W, Dickinson ND 58601, United States DESCRIPTION: Meet with clients about investments and retirement planning. Licensed to sell commission and fee-based products. Work with a mixture of bank and non-bank customers.

Exams

• S66 Uniform Combined State Law Examination
  2018-12-12
• S63 Uniform Securities Agent State Law Examination
  2018-04-27