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Current Employers
Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-04-20
CA RA APPROVED 2024-04-19
  • TX RA
    APPROVED_RES
    Since 2024-04-20
  • CA RA
    APPROVED
    Since 2024-04-19

Branch Locations

1 Lower Ragsdale Dr Bldg 1 Ste 100, Monterey, CA 93940 • United States

Pacific Grove, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Stifel Nicolaus & Co Inc Monterey CA 08/2008 04/2024
Ameriprise Financial Services Llc Monterey CA 04/2024 Present
Previous Registrations
Other Businesses

Real Estate Ownership; Multi-Family; 516 Riker Street, , Salinas , CA, 93901; Not Investment-Related; 01/01/2020.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-05-01
S63 Uniform Securities Agent State Law Examination 1997-05-23
  • S66 Uniform Combined State Law Examination
    2007-05-01
  • S63 Uniform Securities Agent State Law Examination
    1997-05-23
Other Names
  • Mike Mccloud

View on SEC IAPD

Other Firms

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