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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-04-23 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors, Llc | San Diego | CA | 05/2013 | 11/2016 |
| Wells Fargo Clearing Services, Llc | San Diego | CA | 11/2016 | 04/2022 |
| Ameriprise Financial Services, Llc | Live Oak | TX | 04/2022 | Present |
Business Ownership; Hill Country Vintage; Owner; Online retail sales through sites like Ebay.; 512 Fig Tree St, , New Braunfels, TX, 78130; Not Investment-Related; 05/01/2016; 1 to 9 hours per month; 0 during trading hours. Outside Employment; RBFCU; Financial Advisor - Meeting with members to offer financial services.; ; 1 Ikea-RBFCU Parkway, , Live Oak, TX, 78233; Investment-Related; 04/22/2022; 40 to 59 hours per month; 60 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-06-29 |
| S63 | Uniform Securities Agent State Law Examination | 2002-03-07 |
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