Dylan M. Bothun
Professional summary
Dylan Michael Bothun, who also goes by Dylan Bothun, Dylan M Bothun, is a registered financial professional currently at SECURIAN FINANCIAL SERVICES, INC. located in St Paul, Minnesota.
Dylan is registered as a RR (Registered Representative) and started their career in finance in 2011. Dylan has worked at 5 firms and has passed the Series 63, Series 7TO, SIE and Series 6 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Dylan Michael Bothun's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 18, 2018 - Present
SECURIAN FINANCIAL SERVICES, INC.
Office #1: 400 Robert Street North, St Paul, MN 55101January 30, 2018 - September 26, 2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 9, 2014 - August 18, 2016
RIVERSOURCE DISTRIBUTORS, INC.
February 16, 2012 - July 2, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
June 30, 2011 - January 17, 2012
FORESTERS FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/18/2018)
Exams
What does exam status mean?
Series 7TO
Passed: 1/28/2021
General Securities Representative ExaminationSeries 6
Passed: 6/29/2011
FINRA
Current Firm
SECURIAN FINANCIAL SERVICES, INC.
CRD#: 15296 / SEC#: 801-45152, 8-31955
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURIAN FINANCIAL GROUP, INC. | 100% SHAREHOLDER | |
| AXMACHER, ERICH | MEMBER OF BOARD OF DIRECTORS | 8317469 |
| ENGLE, LAUREL | ASSISTANT SECRETARY, FINOP AND PRINCIPAL OPERATIONS OFFICER | 7026175 |
| FERGUSON, KRISTIN MARY | MEMBER OF BOARD OF DIRECTORS, CHIEF FINANCIAL OFFICER, TREASURER, CHIEF EXECUTIVE OFFICER | 6895121 |
| MONTZ, RENEE DENISE | MEMBER OF BOARD OF DIRECTORS | 6014640 |
| NICHOLSON, CALEB | SECRETARY | 6544893 |
| PARRUCCI, JESSICA | PRESIDENT, CHIEF COMPLIANCE OFFICER, ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 7269516 |
Regulatory assets under management
| Total Number of Accounts | 76,075 |
| AUM (Assets Under Management) | $ 20,684,796,225 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
| Bond | 10 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SECURIAN FINANCIAL SERVICES, INC.
CRD#: 15296St Paul, MN 55101TRUST BUT VERIFY
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