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11440 North Jog Road, Palm Beach Gardens, FL 33418-3764 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MT | RA | APPROVED | 2019-08-16 |
Branch Locations
11440 North Jog Road, Palm Beach Gardens, FL 33418-3764 • United States
Helena, MT • United States
11440 North Jog Road, Palm Beach Gardens, FL 33418-3764 • USA
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sandtana Inc | Havre | MT | 01/2002 | 07/2018 |
| Ameriprise Financial Services | Great Falls | MT | 04/2018 | 09/2018 |
| Unemployed | Whitefish | MT | 10/2018 | 12/2018 |
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 01/2019 | 06/2019 |
| Northwestern Mutual Investment Services Llc | Bozeman | MT | 01/2019 | 06/2019 |
| Unemployed | Havre | MT | 06/2019 | 08/2019 |
| Gwn Securities, Inc. | Palm Beach Gardens | FL | 08/2019 | Present |
SANDTANA INC Secretary;oil and gas; havre, mt 59501; Not investment related; Jan 2008; 1-9 hours per month; 1-9 during trading hours TEXTANA, INC ecretary; oil and gas; Havre, MT 59501; Not investment related; Jan 2008; 0 hours per month; 0 during trading hours/ Brown oil llc; manager;not used yet;havre, mt 59501; Not investment related; Jan 2009; 0 hours per month; 0 during trading hours J. BURNS BROWN OPERATIN CO ecretary; oil and gas operating company; havre, mt 59501; Not investment related; Jan 2008; 1-9 hours per month; 0 during trading hours/j.b. operating co; secretary; oil and gas; havre, mt 59501; Not investment related; Jan 2002; 0 hours per month; 0 during trading hours. JB EXPLORATION INC. POSITION: president NATURE: oil and gas INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2005 ADDRESS: 124 third avenue, Havre MT 59501, United States DESCRIPTION: deposit checks and pay bills on oil and gas property working interests KLIMAS FINANCIAL SERVICES, Is Investment Related, DBA, Insurance Sales, Financial Professional, Insurance Agent, 08/21/2019,160 hours per month, 160 hours per month during trading hours, Commission Compensation, Securities DBA used in conjunction with Investment and Insurance Sales (Health, Life, LTC, Annuity)
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-08-21 |
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