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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2019-12-02 |
| TX | RA | APPROVED_RES | 2019-12-01 |
Branch Locations
Bakersfield, CA • United States
5001 California Ave Ste 128, Bakersfield, CA 93309 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Financial Network, Llc | Bakersfield | CA | 08/2012 | 11/2019 |
| Ameriprise Financial Services, Inc | Bakersfield | CA | 11/2019 | 03/2020 |
| Ameriprise Financial Services, Llc | Bakersfield | CA | 03/2020 | Present |
Business Ownership; LR & Associates, INC; Managing Partner; Revenue share for AMPF income; 5001 California ave STE 128, , bakersfield, CA, 93309; Not Investment-Related; 12/20/2021; 0 hours per month; 0 during trading hours / YM & Associates, LLC; Managing Partner; Shared Office Exp for AMPF practice only; 5001 California Ave.Ste 128, , Bakersfield, CA, 93309; Not Investment-Related; 11/12/2021; 1 to 9 hours per month; 0 during trading hours / Tri-Fi Venture Group; Owner; Manage Ameriprise Business; 8501 Camino Media, , bakersfield, CA, 93311; Investment-Related; 07/24/2026; 1 to 9 hours per month; 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-09-02 |
| S63 | Uniform Securities Agent State Law Examination | 2006-05-26 |
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