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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AR | RA | APPROVED | 2023-07-11 |
Branch Locations
36 Rahling Cir Ste 2, Little Rock, AR 72223-9187 • United States
Austin, AR • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley | Little Rock | AR | 06/2009 | 07/2023 |
| Ameriprise Financial Services, Llc | Little Rock | AR | 07/2023 | Present |
Outside Employment; Oak Tree Premier Management Services, LLC; Paraplanner; Manage advisory business; 36 Rahling Cir, , Little Rock, AR, 72223; Investment-Related; 07/05/2023; 60 hours per month; 60 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-02-23 |
| S63 | Uniform Securities Agent State Law Examination | 1997-11-10 |
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