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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-07-14
CA RA APPROVED 2001-10-22
  • TX RA
    APPROVED_RES
    Since 2023-07-14
  • CA RA
    APPROVED
    Since 2001-10-22

Branch Locations

150 Post St Ste 530, San Franscsco, CA 94108 • United States

Belmont, 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. San Francisco CA 09/2005 03/2020
Ameriprise Financial Services, Llc San Francisco CA 03/2020 Present
Other Businesses

Board of Directors; Belmont Redwood Shores Youth Softball Association; Treasurer; PO Box 526, , Belmont, CA, 94002; Not Investment-Related; 03/01/2023; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-10-18
  • S66 Uniform Combined State Law Examination
    2001-10-18
Other Names
  • Lois Wang
  • Lois Sung-Yao Wang

View on SEC IAPD

Other Firms

Other Investors

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