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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2022-09-01 |
| TX | RA | APPROVED | 2022-09-01 |
Branch Locations
901 3Rd Ave S, Minneapolis, MN 55402-3367 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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 ---
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2011-11-21 |
| S66 | Uniform Combined State Law Examination | 2001-09-19 |
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