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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2017-08-18 |
| TX | RA | APPROVED | 2017-08-18 |
Branch Locations
41865 Boardwalk Ste 110, Palm Desert, CA 92211 • United States
La Quinta, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Indian Wells | CA | 09/2011 | 08/2017 |
| Bank Of America, N.A. | Indian Wells | CA | 01/2012 | 08/2017 |
| Ameriprise Financial Services Inc | Palm Desert | CA | 08/2017 | 03/2020 |
| Ameriprise Financial Services, Llc | Palm Desert | CA | 03/2020 | Present |
Independent Insurance Brokering; Sentinel Security Life Ins Co; 06/15/2024; Fixed Annuity / Global Atlantic Fin Grp (Forethought); 06/15/2024; Fixed Annuity / EquiTrust Life Ins Co; 06/15/2024; Fixed Annuity. Business Ownership; Shining Star Ventures, LLC; Owner; Manage Ameriprise Business; 41865 Boardwalk, Suite 110, Palm Desert, CA, 92211; Investment-Related; 11/04/2017; 0 hours per month; 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-11-24 |
| S63 | Uniform Securities Agent State Law Examination | 1997-01-06 |
| S65 | Uniform Investment Adviser Law Examination | 1997-01-06 |
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