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600 Portland Avenue South, Minneapolis, MN 55415 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-01-09 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Santa Barbara Unified School District | Santa Barbara | CA | 10/2023 | 11/2024 |
| Unemployed | N/A | CA | 06/2021 | 10/2023 |
| 1St Financial Bank Usa | San Francisco | CA | 07/2016 | 06/2021 |
| Thrivent Investment Management Inc | Santa Barbara | CA | 09/2024 | Present |
| Thrivent Financial | Appleton | WI | 11/2024 | 05/2025 |
| Thrivent Financial | Appleton | WI | 05/2025 | Present |
BELLA VISTA PARK HOA POSITION: President NATURE: The HOA organizes periodic neighborhood parties and community building events. It does not have any enforcement duties or regular income or expenses. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2024 ADDRESS: 142 Verona Ave, Goleta CA 93117, United States DESCRIPTION: I took over from my 80 year old neighbor. Mainly, I help plans social and community events. I also hold the annual meetings. I do not have control over the finances of the organization. SANTA BARBARA UNIFIED SCHOOL DISTRICT POSITION: Assistant Coach NATURE: It is a school district. INVESTMENT RELATED: No NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2021 ADDRESS: 720 Santa Barbara St., Santa Barbara CA 93101, United States DESCRIPTION: Coach High School athletes. This includes helping in practices and some competitions. SWAN HOLDINGS INC POSITION: President NATURE: Family-owned S corporation that owns farmland and earns income from corn and soybean production through a modified crop share lease agreement. The farm is managed by an outside group, and my involvement is limited to ownership and oversight, with no operational responsibilities. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 02/15/1991 ADDRESS: PO Box 907, Dekalb IL 60115, United States DESCRIPTION: The farm is managed by an outside group, and my involvement is limited to ownership and oversight, with no operational responsibilities. L & S HOLDING INC. POSITION: President NATURE: Family-owned S corporation that owns farmland and earns income from corn and soybean production through a modified crop share lease agreement. The farm is managed by an outside group, and my involvement is limited to ownership and oversight, with no operational responsibilities. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 02/15/1991 ADDRESS: 1101 13th Street North, Suite #2, PO Box 503, Humboldt IA 50548, United States DESCRIPTION: The farm is managed by an outside group, and my involvement is limited to ownership and oversight, with no operational responsibilities. L & S HOLDING INC. POSITION: President NATURE: Family-owned S corporation that owns farmland and generates income from corn and soybean production through a modified crop share lease. The farm operations are managed by an independent farming group, and my role is limited to ownership oversight with no operational responsibilities. The property is currently being sold, with proceeds structured through a Deferred Sales Trust that will distribute payments over time, and the corporation is expected to be dissolved by year-end, at which point I will update this disclosure to remove the entity. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 02/15/1991 ADDRESS: 1101 13th Street North, Suite #2, PO Box 503, Humboldt IA 50548, United States DESCRIPTION: My role is limited to ownership oversight of the farmland, while all farming operations are handled by an independent farming group. I do not participate in day-to-day management or operational decisions. Following the sale of the property, proceeds will be placed in a Deferred Sales Trust, and I will not have direct control over the funds, which are held in a custodial account and managed by an independent advisory group.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2025-01-08 |
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