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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-09-28 |
| NY | RA | APPROVED | 2021-04-16 |
| NJ | RA | APPROVED | 2018-12-07 |
Branch Locations
501 Providence Hwy, Norwood, MA 02062-4954 • United States
122 E 42Nd St Ste 2215, New York, NY 10168 • United States
1174 Veterans Memorial Hwy, Hauppauge, NY 11788 • United States
Garden City, NY • United States
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 | New York | NY | 05/2012 | 12/2018 |
| Ameriprise Financial Services, Inc. | New York | NY | 12/2018 | 03/2020 |
| Ameriprise Financial Services, Llc | New York | NY | 03/2020 | Present |
Outside Employment; Certainty of the Uncertainty, LLC; Contractor of the Legal Entity - Financial Advisor.; compensation received from an advisor owned entity established to manage the practice.; 1174 Veteran Memorial Highway, , Hauppauge, NY, 11788; Investment-Related; 05/03/2023; 60 hours per month; 60 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-05-30 |
| S66 | Uniform Combined State Law Examination | 2002-10-03 |
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