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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ND | RA | APPROVED | 2023-11-15 |
| MN | RA | APPROVED | 2023-11-14 |
Branch Locations
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 |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Fargo | ND | 04/2009 | 11/2019 |
| Wells Fargo Advisors Financial Network, Llc | West Fargo | ND | 11/2019 | 11/2023 |
| Commonwealth Financial Network | San Diego | CA | 11/2023 | Present |
| Northstar Financial Group | West Fargo | ND | 11/2023 | Present |
1. Fixed insurance sales; as of 9/20/2023; 1% time spent during business hours; Conducted at branch location; Investment related. 2. Co-owner, NorthStar Financial Group, LLC; a private entity established to facilitate securities, advisory, and insurance business; as of 9/20/2023; 1% of time spent during business hours; Conducted at branch; Investment related. 3. Co-owner, Chad Zimmerman, LLC; a private entity established to facilitate securities, advisory, and insurance business; as of 11/05/2019; 99% of time spent during business hours; Conducted at branch; Investment related. 4. Co-owner, Cave Dweller, LLC; an entity created for the purpose of owning real estate at 3250 Oak Ridge Loop E, West Fargo, ND 58078, as of 9/20/2023; 0% time spent during business hours; Conducted at branch; Investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-10-08 |
| S63 | Uniform Securities Agent State Law Examination | 1999-05-05 |
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