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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2021-08-10 |
Branch Locations
350 N. Main Street Suite 106, Stillwater, MN 55082-7055 • United States
Woodbury, MN • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Winter And Associates | St Paul | MN | 03/2014 | 05/2020 |
| Cri Securities, Llc | St Paul | MN | 09/2014 | 05/2020 |
| Securian Financial Services, Inc | St Paul | MN | 09/2014 | 05/2020 |
| Rbc Capital Markets, Llc | Stillwater | MN | 02/2021 | Present |
| Unemployed | St. Paul | MN | 05/2020 | 09/2020 |
| Washington County, Mn | Stillwater | MN | 09/2020 | 11/2020 |
| Unemployed | St. Paul | MN | 11/2020 | 02/2021 |
NAME OF ENTITY: Washington County, MN ADDRESS: 14949 62nd Street N Stillwater, MN 55082 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: County Government CAPACITY: Employee START DATE: 11/02/2021 DUTIES: assist with general polling place duties as assigned by the Head Judge HOURS DEVOTED PER MONTH: 15-45 hours per year HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 8
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-08-10 |
| S63 | Uniform Securities Agent State Law Examination | 2015-11-10 |
| S65 | Uniform Investment Adviser Law Examination | 2001-02-05 |
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