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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2024-08-06 |
| GA | RA | APPROVED | 2022-02-21 |
| SC | RA | APPROVED | 2022-02-15 |
| AL | RA | APPROVED | 2021-05-19 |
| TX | RA | APPROVED | 2021-05-19 |
Branch Locations
335B E Main St, Tupelo, MS 38804 • United States
2501 20Th Pl S Ste 400, Birmingham, AL 35223 • United States
Birmingham, AL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Investment Services Llc | St Cloud | MN | 11/2014 | 05/2021 |
| Cetera Investment Advisers | Schaumburg | IL | 11/2014 | 05/2021 |
| Ameriprise Financial Services, Llc | Birmingham | AL | 05/2021 | Present |
Real Estate Ownership; Commercial; 2329 North Grand Avenue, , Nogales, AZ, 85621; Not Investment-Related; 04/10/1999. Business Ownership; Sierra Seed Company; Shareholder; Seed Distributor; 2329 North Grand Avenue, , Nogales, AZ, 85621; Not Investment-Related; 06/30/2021; 0 hours per month; 0 during trading hours / Sierra Seed International; Co-owner; Seed Distribution; Carretera Estatal Luis Vonaldo Colosio, , Imuris, Sonora, , MEX; Not Investment-Related; 09/01/2023; 0 hours per month; 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-01-16 |
| S63 | Uniform Securities Agent State Law Examination | 1995-08-07 |
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