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Adam Harvey Ward

Ameriprise Financial Services, LLC

San Jose, CA

Monte Sereno, CA

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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2010-12-13
TX RA APPROVED_RES 2009-10-12
PA RA APPROVED 2003-11-03
  • CA RA
    APPROVED
    Since 2010-12-13
  • TX RA
    APPROVED_RES
    Since 2009-10-12
  • PA RA
    APPROVED
    Since 2003-11-03

Branch Locations

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

Monte Sereno, 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. San Jose CA 09/2005 03/2020
Ameriprise Financial Services, Llc San Jose CA 03/2020 Present
Other Businesses

Real Estate Ownership; Lot/Land; 1656 Silverwoos Terrace, , Los Angeles, CA, 90026; Investment-Related; 06/07/2019.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-10-30
S63 Uniform Securities Agent State Law Examination 2001-11-30
  • S66 Uniform Combined State Law Examination
    2003-10-30
  • S63 Uniform Securities Agent State Law Examination
    2001-11-30

View on SEC IAPD

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J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA
WELLS FARGO CLEARING SERVICES, LLC · SAN JOSE, CA
J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA
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