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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 2010-02-22
CA RA APPROVED 2009-10-05
  • TX RA
    APPROVED_RES
    Since 2010-02-22
  • CA RA
    APPROVED
    Since 2009-10-05

Branch Locations

3027 Townsgate Rd Ste 200, Westlake Village, CA 91361-5863 • United States

Simi Valley, 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
Ameriprise Financial Services, Inc. Woodland Hills CA 10/2009 03/2020
Ameriprise Financial Services, Inc. Woodland Hills CA 10/2009 03/2020
Ameriprise Financial Services, Llc Westlake Village CA 03/2020 Present
  • 10/2009 → 03/2020
    Ameriprise Financial Services, Inc.
    Woodland Hills, CA
  • 10/2009 → 03/2020
    Ameriprise Financial Services, Inc.
    Woodland Hills, CA
  • 03/2020 → Present
    Westlake Village, CA
Previous Registrations
  • 2003-06-27 → 2009-10-05
    Ameriprise Advisor Services, Inc.
    Woodland Hills, CA
    Woodland Hills, CA
  • 2003-03-03 → 2003-07-09
    Woodland Hills, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-02-27
S63 Uniform Securities Agent State Law Examination 1998-09-21
  • S65 Uniform Investment Adviser Law Examination
    2001-02-27
  • S63 Uniform Securities Agent State Law Examination
    1998-09-21

View on SEC IAPD

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