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34 Fountain Square Plaza Md 1090Xb, Cincinnati, OH 45263 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-07-08 |
| TX | RA | APPROVED | 2026-07-08 |
Branch Locations
333 W. Santa Clara 12Th Floor, San Jose, CA 95113 • United States
901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-02-28 |
| CA | RA | APPROVED | 2023-08-21 |
Branch Locations
333 W Santa Clara St, San Jose, CA 95113 • United States
San Jose, 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 |
|---|---|---|---|---|
| Ameriprise Financial Services, Llc | San Jose | CA | 08/2023 | Present |
| Fifth Third Securities | San Jose | CA | 07/2026 | Present |
| Comerica Securities | San Jose | CA | 01/1998 | 08/2023 |
Outside Employment; Comerica; Financial Advisor; Money market fund solutions; 333 W. Santa Clara St. 12th floor, , San Jose, CA, 95113; Investment-Related; 11/06/2023; 1 to 9 hours per month; 1 to 9 during trading hours. Other Business Activities; Fo2/Maestro; FO2/Maestro is a cash management platform for corporate and institutional clients; 333 W. Santa Clara St., , San Jose, CA, 95113; Investment-Related; 11/06/2023; 10 to 19 hours per month; 1 to 9 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-07-07 |
| S63 | Uniform Securities Agent State Law Examination | 1997-04-15 |
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