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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 2009-10-05
  • TX RA
    APPROVED
    Since 2009-10-05

Branch Locations

444 Executive Center Blvd Ste 222, El Paso, TX 79902 • United States

El Paso, TX • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Toledo OH 10/2009 03/2020
Ameriprise Financial Services, Llc El Paso TX 03/2020 Present
Previous Registrations
  • 1998-08-03 → 2009-10-05
    Ameriprise Advisor Services, Inc.
    El Paso, TX
    Toledo, OH
    El Paso, TX
Other Businesses

Business Ownership; AnyTime Fitness; Silent partner; Fitness Gym; 2451 Pablo Kisel Blvd, , Brownsville, TX, 78521; Not Investment-Related; 12/30/2019; 1 to 9 hours per month; 1 to 9 during trading hours / Mountain Star Financial Advisors; Own and Operate my Book of Business of clients; Financial Advisory; 444 Executive Center Blvd Suite 222, , El Paso, TX, 79902; Investment-Related; 12/12/2019; 40 to 59 hours per month; 20 to 39 during trading hours. Outside Employment; Mountain Star Financial Advisors; President - Own and Operate my Book of Business of clients; ; 444 Executive Center Blvd Suite 222, , El Paso, TX, 79902; Investment-Related; 12/12/2019; 40 to 59 hours per month; 20 to 39 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-05-09
S63 Uniform Securities Agent State Law Examination 1998-07-30
  • S65 Uniform Investment Adviser Law Examination
    2001-05-09
  • S63 Uniform Securities Agent State Law Examination
    1998-07-30

View on SEC IAPD

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