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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 2012-04-04
CA RA APPROVED 2003-10-08
  • TX RA
    APPROVED_RES
    Since 2012-04-04
  • CA RA
    APPROVED
    Since 2003-10-08

Branch Locations

1 Almaden Blvd Ste 810, San Jose, CA 95113-2215 • United States

Morgan Hill, CA • 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
Ameriprise Financial Services, Inc. Campbell CA 09/2003 03/2020
Ameriprise Financial Services, Llc San Jose CA 03/2020 Present
Previous Registrations
Other Businesses

Other Business Activities; Notre Dame San Jose High School; Board Member and Chair of Investment Committee. This is an advisory committee. Overall stewardship of Notre Dame's investments and oversight of the investment management services and direction of overall school growth and development.; 596 S. Second Street, , San Jose, CA, 95112; Investment-Related; 04/03/2023; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-12-18
  • S66 Uniform Combined State Law Examination
    2001-12-18

View on SEC IAPD

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