Charles Anthony Palacios

Current Employers

Ameriprise Financial Services, Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2007-09-13
NM	RA	APPROVED	1996-09-26

TX RA
APPROVED_RES

Since 2007-09-13
NM RA
APPROVED

Since 1996-09-26

Branch Locations

Scottsdale, AZ • United States

17550 N Perimeter Dr Ste 150, Scottsdale, AZ 85255 • 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

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Scottsdale	AZ	09/2005	03/2020
Ameriprise Financial Services, Llc	Scottsdale	AZ	03/2020	Present

09/2005 → 03/2020

Ameriprise Financial Services, Inc.

Scottsdale, AZ
03/2020 → Present

Ameriprise Financial Services, Llc

Scottsdale, AZ

Other Businesses

Business Ownership; Palace Enterprises; Owner; Legal Entity for Team Practice; 17550 N Perimeter Dr, Suite 150, Scottsdale, AZ, 85255; Not Investment-Related; 01/01/2023; 1 to 9 hours per month; 1 to 9 during trading hours. Outside Employment; Palace Enterprises; President - Employee of the legal entity attached to the team practice; Employee of the legal entity attached to the team practice; 17550 N Perimeter Dr, Suite 150, Scottsdale, AZ, 85255; Not Investment-Related; 01/01/2023; 60 hours per month; 60 during trading hours.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1996-09-06
S65	Uniform Investment Adviser Law Examination	1996-09-03

S63 Uniform Securities Agent State Law Examination

1996-09-06
S65 Uniform Investment Adviser Law Examination

1996-09-03

Other Names

Charles Palacios

View on SEC IAPD