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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 2019-07-26
CA RA APPROVED 2002-04-22
  • TX RA
    APPROVED_RES
    Since 2019-07-26
  • CA RA
    APPROVED
    Since 2002-04-22

Branch Locations

200 Pringle Ave Ste 550, Walnut Creek, CA 94596 • United States

Martinez, 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. Walnut Creek CA 09/2005 03/2020
Ameriprise Financial Services, Llc Walnut Creek CA 03/2020 Present
Other Businesses

Real Estate Ownership; Multi-Family; Avenida Los Canarios 27, Don Paco G-3 Apt 813, Patalavaca, Las Palmas/Gran Canarias, , ESP; Investment-Related; 11/01/2024. Board of Directors; University of Oregon Alumni Association-NorCal; Senior Advisor to the Board; University Of Oregon, , Eugene, OR, 55474; Not Investment-Related; 09/01/2022; 1 to 9 hours per month; 0 during trading hours / Business Network International; Secretary/Treasurer; 399 Wiget Lane, , Walnut Creek, CA, 94597; Not Investment-Related; 11/19/2024; 1 to 9 hours per month; 1 to 9 during trading hours. Other Business Activities; Business Networking International (BNI); Weekly meeting to work on business skills, presentations and networking; 200 Pringle Ave, , Walnut Creek, CA, 94596; Not Investment-Related; 02/13/2020; 1 to 9 hours per month; 1 to 9 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-04-19
  • S66 Uniform Combined State Law Examination
    2002-04-19

View on SEC IAPD

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