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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2025-04-23 |
Branch Locations
2717 Orchard Drive Suite A, Cedar Falls, IA 50613 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Tempe | AZ | 09/2005 | 02/2019 |
| Ameriprise Financial Services, Inc | Tempe | AZ | 05/2019 | 08/2019 |
| Commonwealth Financial Network | Waltham | MA | 08/2019 | 09/2024 |
| Ke Wealth Advisors | Tempe | AZ | 08/2019 | 09/2024 |
| Ameriprise Financial Services, Llc | Cedar Falls | IA | 10/2024 | 04/2025 |
| Commonwealth Financial Network | Waltham | MA | 04/2025 | Present |
| Joyce Oaks Wealth Management | Cedar Falls | IA | 04/2025 | Present |
1. Owner, Winding Rivers Publishing, LLC; publishing company; Located in Mason City, IA; as of 2/20/2024; 0% of time spent during business hours; Not conducted at branch location; Not investment related. 2. Author of book "Heart in Pieces"; Located in Mason City, IA, as of 4/07/2024; 0% of time spent during business hours; Not conducted at branch location; Not investment related. 3. Author of book "Heart on Fire"; Located in Mason City, IA, as of 2/14/2025; 0% of time spent during business hours; Not conducted at branch location; Not investment related. 4. Author of book "Heart of Steel". Located in Mason City, IA, as of 07/06/2025. 0% of time spent during business hours; Not conducted at branch location; Not investment related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-12-11 |
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