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Current Employers
Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2000-10-24
  • CA RA
    APPROVED
    Since 2000-10-24

Branch Locations

1130 Iron Point Rd Ste 150, Folsom, CA 95630-8310 • United States

El Dorado Hills, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Folsom CA 09/2005 03/2020
Ameriprise Financial Services, Llc Folsom CA 03/2020 Present
Other Businesses

Business Ownership; OAXplorer; Owner; Garment Industry; 1561 Terracina DrEl Dorado Hills, Ca 95762, ,; Not Investment-Related; 02/01/2019; 10 to 19 hours per month; 1 to 9 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-10-18
  • S66 Uniform Combined State Law Examination
    2000-10-18
Other Names
  • Xiao Dong Guan

View on SEC IAPD

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