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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| GA | RA | APPROVED | 2019-10-29 |
| TX | RA | APPROVED | 2019-10-28 |
Branch Locations
329 Oak St Ste 202, Gainesville, GA 30501 • United States
Cumming, GA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Strategic Financial Alliance, Inc. | Atlanta | GA | 06/2010 | 10/2019 |
| Ameriprise Financial Services, Inc. | Gainesville | GA | 10/2019 | 03/2020 |
| Ameriprise Financial Services, Llc | Gainesville | GA | 03/2020 | Present |
Business Ownership; PCA INSCO, LLC; Accounting, accounts payable.; Entity established to manage fixed insurance renewals and bonuses received from prior IMO.; 329 Oak Street, Suite 202, , Gainesville, GA, 30501; Investment-Related; 09/30/2011; 1 to 9 hours per month; 0 during trading hours / NGA Stewards, Inc.; Accounting, payroll processing, accounts payable, supply purchases.; Entity established to pay staff, office lease and manage the practice.; 329 Oak Street, Suite 202, , Gainesville, GA, 30501; Not Investment-Related; 06/20/2002; 1 to 9 hours per month; 1 to 9 during trading hours. Outside Employment; NGA Stewards, Inc.; Owner; Manage advisory business; 329 Oak Street, Suite 202, Gainesville, GA, 30501; Investment-Related; 08/01/2018; 40 to 59 hours per month; 40 to 59 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-11-07 |
| S63 | Uniform Securities Agent State Law Examination | 2001-02-15 |
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