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Gary Lundgren, Chairman & Secretary
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OPERATIONS DEPT.
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Michelle Davis
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-Money Market & Checkwriting
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TRADING DEPT.
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-Margin Accounts
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Brian Kline, Executive Vice President
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-Client IRS Reporting
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Nathan Merseth, Firm Principal
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-Restricted Accounts
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-Managed Accounts
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-Market Information & Research
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-Inactive Account & Late Payment Fees
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-Trade Processing
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-Physical Registrations (Order-outs)
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-Trade Confirmations
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-Outgoing Retail Funds, Interest Orders
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-Inventory Information
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-IRA/QP Distributions
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MUTUAL FUNDS DEPT.
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Bob Harvey
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Nathan Merseth, Firm Principal
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-Deposit Funds & Securities
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-Product Information
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-Redemptions & Reorganizations
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-Place Fund Orders
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-Retail Account Transfers
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-Interest & Dividends
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COMPLIANCE DEPT.
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-Risk, Regulation T
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Nathan Merseth, Compliance Principal
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-Legal Transfers
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-Continuing Education
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-NASD Registration & Licensing
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Michelle Davis
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-Correspondent Relationship
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-Retirement Accounts
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-Stock Option Financing
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-IRA/QP Transfers
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-IRA/QP Contributions
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BROKER COMMISSIONS
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-New Accounts
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Nathan Merseth, Compliance Principal
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-Client Statements
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-Householding
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ACCOUNTING DEPT.
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-Mail Insurance Logs
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Gary Lundgren, Financial Principal
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-Account File Maintenance
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Tiffany Hodkin, Accounting Manager
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-RMA/BSA Accounts
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-Employee Payroll & Benefits
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-Bookkeeping
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-Insurance Licensing
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