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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| RI | RA | APPROVED | 2024-10-15 |
| FL | RA | APPROVED | 2019-11-26 |
| TX | RA | APPROVED | 2019-11-22 |
Branch Locations
5200 Town Center Cir Ste 600, Boca Raton, FL 33486-1045 • United States
Boca Raton, FL • United States
2 disclosure categories 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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Oppenheimer & Co. Inc. | Boca Raton | FL | 03/2014 | 11/2019 |
| Ameriprise Financial Services, Inc | Boca Raton | FL | 11/2019 | 03/2020 |
| Ameriprise Financial Services, Llc | Boca Raton | FL | 03/2020 | Present |
Outside Employment; Boca Raton Little league; Umpire Little league baseball games; Umpire little league baseball games; sugarsand park , , boca arton, FL, 33433; Not Investment-Related; 10/07/2023; 10 to 19 hours per month; 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-03-27 |
| S63 | Uniform Securities Agent State Law Examination | 1996-08-20 |
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