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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 2006-10-05
CA RA APPROVED 2001-06-08
  • TX RA
    APPROVED_RES
    Since 2006-10-05
  • CA RA
    APPROVED
    Since 2001-06-08

Branch Locations

125 Water St Ste A-3, Santa Cruz, CA 95060 • United States

1905 The Alameda, San Jose, CA 95126 • United States

99 Pacific St Ste 400, Monterey, CA 93940-2470 • United States

San Jose, 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 Jose CA 09/2005 03/2020
Ameriprise Financial Services, Llc San Jose CA 03/2020 Present
Other Businesses

Real Estate Ownership; Single Family; 3427 Wine Cork Way, Sand Jose, CA 95124, ,; ; . Business Ownership; Eighth Floor, LLC; Common entity to pay non-licensed shared staff and office expenses.; Common entity to pay non-licensed shared staff and office expenses.; 1905 The Alameda San Jose, CA 95126, ,; Not Investment-Related; 01/01/2012; 1 to 9 hours per month; 1 to 9 during trading hours / Terra Three, LLC; Partner; Entity to manage the finances and real estate of our shared AMP office; 1905 The Alameda San Jose, CA 95126, ,; Not Investment-Related; 03/14/2017; 1 to 9 hours per month; 1 to 9 during trading hours. Board of Directors; Troop 290 Committee; Committee Chair; 1900 The Alameda #100, , San Jose, CA, 95126; Not Investment-Related; 09/06/2024; 1 to 9 hours per month; 0 during trading hours / Pacific Swimming Board of Directors; Finance - Vice Chair; 1374 Lupine Court, , Concord, CA, 94521; Investment-Related; 03/25/2025; 1 to 9 hours per month; 1 to 9 during trading hours / Almaden Masters; Board Member; 1297 Peralta Dr, , San Jose, CA, 95120; Not Investment-Related; 01/01/2026; 0 hours per month; 0 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-06-06
  • S66 Uniform Combined State Law Examination
    2001-06-06

View on SEC IAPD

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