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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-08-18
CA RA APPROVED 2002-01-07
  • TX RA
    APPROVED_RES
    Since 2020-08-18
  • CA RA
    APPROVED
    Since 2002-01-07

Branch Locations

164 Main St Ste 206, Los Altos, CA 94022 • United States

Mountain View, CA • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Los Altos CA 09/2001 03/2020
Mission College Santa Clara CA 12/2006 06/2019
Ameriprise Financial Services, Llc Los Altos CA 03/2020 Present
  • 09/2001 → 03/2020
    Ameriprise Financial Services, Inc.
    Los Altos, CA
  • 12/2006 → 06/2019
    Mission College
    Santa Clara, CA
  • 03/2020 → Present
    Los Altos, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-11-14
  • S66 Uniform Combined State Law Examination
    2001-11-14

View on SEC IAPD

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