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Current Employers
Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-09-01
TX RA APPROVED 2022-09-01
  • CA RA
    APPROVED
    Since 2022-09-01
  • TX RA
    APPROVED
    Since 2022-09-01

Branch Locations

Keaau, HI • United States

901 3Rd Ave S, Minneapolis, MN 55402-3367 • 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
Union Bank San Francisco CA 05/2015 03/2017
Unemployed Livermore CA 03/2017 05/2017
Lincoln Financial Advisors Corporation San Ramon CA 05/2017 05/2018
Fidelity Brokerage Services Llc Milpitas CA 05/2018 08/2022
Ameriprise Financial Services, Llc Minneapolis MN 08/2022 Present
  • 05/2015 → 03/2017
    Union Bank
    San Francisco, CA
  • 03/2017 → 05/2017
    Unemployed
    Livermore, CA
  • 05/2017 → 05/2018
    Lincoln Financial Advisors Corporation
    San Ramon, CA
  • 05/2018 → 08/2022
    Fidelity Brokerage Services Llc
    Milpitas, CA
  • 08/2022 → Present
    Minneapolis, MN
Previous Registrations
Other Businesses

Name of Activity: Adjunct Professor - Southern New Hampshire University; Date Activity Started/Modified/Ended: 9/1/2023; Type of Activity: Other - University Professor; Role/Relationship: Employee; Responsibilities: Teach classes at SNHU; Total Hours Per Month: 0 - 20; Total Hours Per Month During Trading Hours: 0 - 20; Does this activity include providing investment advice, conducting securities trading or managing the assets of others? No; --- END --- Name of Activity: FINRA Arbitrator; Date Activity Started/Modified: 11/15/2024; Type of Activity: Other - FINRA Arbitrator; Role/Relationship: Other - Arbitrator of FINRA cases; Responsibilities: Arbitrate FINRA cases; Total Hours Per Month: 0 - 20; Total Hours Per Month During Trading Hours: 0 - 20; Does this activity include providing investment advice, conducting securities trading or managing the assets of others? No; --- END --- Name of Activity: Patent Attorney; Date Activity Started/Modified/Ended: 1/15/2025; Type of Activity: Other - Practice of Law; Role/Relationship: Employee; Responsibilities: Practice of law for patent work; Total Hours Per Month: 0 - 20; Total Hours Per Month During Trading Hours: 0 - 20; Does this activity include providing investment advice, conducting securities trading or managing the assets of others? No; --- END ---

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2011-11-21
S66 Uniform Combined State Law Examination 2001-09-19
  • S63 Uniform Securities Agent State Law Examination
    2011-11-21
  • S66 Uniform Combined State Law Examination
    2001-09-19
Designations
Other Names
  • Shane M Reniker
  • Shane Michael Reniker

View on SEC IAPD

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