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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2019-07-12 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Lexington | KY | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Lexington | KY | 11/2016 | 07/2019 |
| Ameriprise Financial Services Inc | Lexington | KY | 07/2019 | 03/2020 |
| Ameriprise Financial Services, Llc | Lexington | KY | 03/2020 | Present |
Business Ownership; SMALLWOOD ENTERPRISES, LLC; ADMINISTRATOR; Consulting; 1204 FONTAINE ROAD, , LEXINGTON, KY, 40502; Not Investment-Related; 07/19/2019; 10 to 19 hours per month; 10 to 19 during trading hours. Board of Directors; UNION COLLEGE; BOARD MEMBER; 310 COLLEGE sTREET, , BARBOURVILLE, KY, 40906; Investment-Related; 09/01/2017; 10 to 19 hours per month; 1 to 9 during trading hours / ALZHEIMER'S ASSOCIATION; BOARD MEMBER; 6100 DUTCHAMNS LANE #401, , LOUISVILLE, KY, 40205; Not Investment-Related; 06/30/1998; 10 to 19 hours per month; 1 to 9 during trading hours. Other Business Activities; Lexington Directions Inc.; Tax-exempt organization. Education and grant seeking for benefit of Lexington ky. ; 2105 Bridgeport Drive, , Lexington , KY, 40502; Not Investment-Related; 07/19/2023; 1 to 9 hours per month; 1 to 9 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-08-22 |
| S63 | Uniform Securities Agent State Law Examination | 1997-08-07 |
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