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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2022-05-25 |
| CT | RA | APPROVED | 2020-07-31 |
Branch Locations
1819 Main St Ste 1002 10Th Floor, Sarasota, FL 34236 • United States
Lakewood Ranch, FL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Unemployed | New Canaan | CT | 05/2009 | 07/2020 |
| Neuberger Berman Llc | New York | NY | 11/2009 | 07/2020 |
| Ameriprise Financial Services Llc | Greenwich | CT | 07/2020 | Present |
Outside Employment; Halite Capital LLC; COO - 1) General accounting and financial oversight2) operational management3) custodial oversight4) Management and coordination of professional services; ; 248 East Ave, , Rochester, NY, 14604; Investment-Related; 10/01/2021; 10 to 19 hours per month; 1 to 9 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-13 |
| S63 | Uniform Securities Agent State Law Examination | 1987-12-11 |
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