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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2025-02-06 |
Branch Locations
Burkesville, KY • United States
1174 Veterans Memorial Hwy, Hauppauge, NY 11788 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Indianpolis | IN | 12/2015 | 08/2022 |
| Pnc Investments Llc | Pittsburgh | PA | 09/2022 | 01/2025 |
| Ameriprise Financial Services, Llc | Hauppauge | NY | 01/2025 | Present |
Outside Employment; Certainty of the Uncertainty, LLC; Employee (or contractor) of legal entity; Manage advisory business; 1174 Veterans Memorial Highway, , Hauppauge, NY, 11788; Investment-Related; 01/27/2025; 60 hours per month; 60 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-08-09 |
| S63 | Uniform Securities Agent State Law Examination | 1999-12-02 |
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