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Tuan Quang Dau

Ameriprise Financial Services, LLC

Plano, TX

Plano, TX

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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 1999-09-22
  • TX RA
    APPROVED
    Since 1999-09-22

Branch Locations

3333 Premier Dr Ste 100, Plano, TX 75023 • United States

Plano, TX • 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 Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Plano TX 09/2005 03/2020
Ameriprise Financial Services, Llc Plano TX 03/2020 Present
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1999-09-17
  • S63 Uniform Securities Agent State Law Examination
    1999-09-17

View on SEC IAPD

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