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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2018-10-09 |
| TX | RA | APPROVED | 2018-10-05 |
Branch Locations
100 Pringle Ave Ste 420, Walnut Creek, CA 94596-7385 • United States
Danville, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Walnut Creek | CA | 06/2009 | 10/2018 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 10/2018 |
| Ameriprise Financial Services Inc | Walnut Creek | CA | 10/2018 | 03/2020 |
| Ameriprise Financial Services, Llc | Walnut Creek | CA | 03/2020 | Present |
Board of Directors; SRVLL; Tresurer; 100 Blemer RDDanville, CA 94526, ,; Not Investment-Related; 03/01/2017; 1 to 9 hours per month; 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-01-10 |
| S63 | Uniform Securities Agent State Law Examination | 2000-12-27 |
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