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5201 Great America Parkway Suite 320, Santa Clara, CA 95054 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-02-17 |
| CA | RA | APPROVED | 2019-04-26 |
Branch Locations
5201 Great America Parkway Suite 320, Santa Clara, CA 95054 • 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, Inc. | Santa Clara | CA | 09/2005 | 06/2017 |
| Prosperity Financial Group, Inc. | San Ramon | CA | 06/2017 | 04/2019 |
| Figtree Financial Advisors, Llc | Santa Clara | CA | 04/2019 | Present |
1. AGUSTINA CARBAJAL TRUST; NOT INVESTMENT-RELATED; 636 SAN MIGUEL AVENUE, SUNNYVALE, CA 94058; LIVING TRUST; TRUSTEE IN THE EVENT OF DEATH; 03/25/1999; APPROXIMATELY 0 HOURS PER MONTH; APPROXIMATELY 0 HOURS DURING TRADING HOURS; ASSUME TRUSTEE RELATED DUTIES IN THE EVENT OF HER DEATH 2. INDEPENDENT INSURANCE AGENT; INVESTMENT-RELATED; 1360 CHELSEA DR. LOS ALTOS, CA 94024; INSURANCE SALES; INSURANCE AGENT; INSURANCE AGENT FOR HEALTH, DISABILITY, LIFE INSURANCE, AND LONG TERM CARE FOR VARIOUS INSURANCE COMPANIES
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-12-28 |
| S63 | Uniform Securities Agent State Law Examination | 1998-02-07 |
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