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ST

Scott A. Theisen

NORTHBORNE SECURITIES PARTNERS LLC
Minneapolis, MN 55401
Some features on this profile are disabled
CRD#: 6688226
ST

Professional summary

Scott Anthony Theisen, who also goes by Scott Theisen, is a registered financial professional currently at NORTHBORNE SECURITIES PARTNERS LLC located in Minneapolis, Minnesota.

Scott is registered as a RR (Registered Representative) and started their career in finance in 2016. Scott has worked at 2 firms and has passed the Series 63, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Scott Theisen

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Scott Anthony Theisen's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 14, 2023 - Present

NORTHBORNE SECURITIES PARTNERS LLC

Office #1: 212 Third Avenue North, Suite 500, Minneapolis, MN 55401
BD
CRD#: 315017
Minneapolis, MN
Past

October 19, 2016 - March 1, 2021

BMO CAPITAL MARKETS CORP.

BD
CRD#: 16686
Minneapolis, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Minnesota
(1/14/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 10/21/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 10/19/2016
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

NS
NORTHBORNE SECURITIES PARTNERS LLC
NORTHBORNE SECURITIES PARTNERS LLC

CRD#: 315017 / SEC#: , 8-70781

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
212 Third Avenue North, Suite 500, Minneapolis, MN 55401
Mailing Address
212 Third Avenue North, Suite 500, Minneapolis, MN 55401
Phone number
(612) 351-8701
Established
Delaware since 04/20/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
NORTHBORNE PARTNERS LLCSOLE MEMBER
HIGGINS, KENNETH EDWARDMANAGER / FINOP / PFO / POO2699527
HORVICK, MARK JMANAGER / CCO5985599
JEVNICK, PAUL RONALDMANAGER2749780
MARKS, BENJAMIN MMANAGER5167182
NICHOLSON, ERIC MATHEWMANAGING DIRECTOR3091615

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

NORTHBORNE SECURITIES PARTNERS LLC

CRD#: 315017Minneapolis, MN 55401

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