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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2024-08-21 |
| TX | RA | APPROVED | 2021-06-18 |
Branch Locations
5151 San Felipe St Ste 2100, Houston, TX 77056-3727 • United States
Chicago, IL • United States
Houston, TX • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Houston | TN | 05/2013 | 06/2021 |
| Bank Of America, N.A. | Houston | TX | 05/2013 | 06/2021 |
| Ameriprise Financial Services Llc | Houston | TX | 06/2021 | Present |
Board of Directors; The Women's Resource of Greater Houston; Advisory Board Member; 730 N Post Oak Road, #203, , Houston, TX, 77024; Not Investment-Related; 09/01/2022; 1 to 9 hours per month; 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2009-10-19 |
| S65 | Uniform Investment Adviser Law Examination | 2006-11-17 |
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