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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-08-29 |
| CA | RA | APPROVED | 2019-03-18 |
Branch Locations
3027 Townsgate Rd Ste 200, Westlake Village, CA 91361-5863 • United States
Westlake Village, CA • 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 |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Encino | CA | 01/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Encino | CA | 11/2016 | 03/2019 |
| Ameriprise Financial Services Inc | Woodland Hills | CA | 03/2019 | 03/2020 |
| Ameriprise Financial Services, Llc | Westlake Village | CA | 03/2020 | Present |
Board of Directors; The Park Players; Chairman; 456 N Reino Rd , , Newbury Park , CA, 91320; Not Investment-Related; 06/02/2025; 1 to 9 hours per month; 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-06-28 |
| S63 | Uniform Securities Agent State Law Examination | 1997-05-19 |
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