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401 Union Street 18Th Floor, Seattle, WA 98101 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2025-04-24 |
| KY | RA | APPROVED | 2025-04-24 |
| OH | RA | APPROVED | 2025-04-24 |
| WA | RA | APPROVED | 2025-04-24 |
| WI | RA | APPROVED | 2025-04-24 |
Branch Locations
833 E. Michigan Street Suite 850, Milwaukee, WI 53202 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Dorothy Lane Market | Oakwood | OH | 09/2016 | 12/2018 |
| Norwood Medical | Dayton | OH | 04/2019 | 08/2019 |
| Ncr Country Club | Kettering | OH | 06/2020 | 08/2022 |
| Guggenheim Funds Distributors, Llc | Chicago | IL | 09/2023 | 03/2025 |
| Oakwood High School | Oakwood | OH | 08/2015 | 06/2019 |
| Saint Mary's College | South Bend | IN | 08/2019 | 05/2023 |
| Unemployed | Chicago | IL | 05/2023 | 09/2023 |
| Russell Investments | Seattle | WA | 04/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-11-30 |
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