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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2019-01-16 |
Branch Locations
250 Nicollet Mall Suite 1700, 16Th Floor, Minneapolis, MN 55401 • United States
Lakeville, MN • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Westerville | OH | 02/2015 | 01/2019 |
| Rbc Capital Markets, Llc. | Minneapolis | MN | 01/2019 | Present |
NAME OF ENTITY: FINRA; ADDRESS: 1735 K STREET NW WASHINGTON DC 2006; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: DISPUTE RESOLUTION ARBITRATOR; CAPACITY: INDEPENDENT CONTRACTOR/CONSULTANT; START DATE: 07/16/2018; DUTIES: PARTICIPATES ON FINRA ARBITRATION BOARDS; HOURS DEVOTED PER MONTH: LESS THAN 01; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: LESS THAN 01;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-06-30 |
| S63 | Uniform Securities Agent State Law Examination | 1990-01-18 |
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