John Randall Soward

Current Employers

Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2011-02-23
CA	RA	APPROVED	2009-12-22

TX RA
APPROVED_RES

Since 2011-02-23
CA RA
APPROVED

Since 2009-12-22

Branch Locations

Chino, CA • United States

3400 Central Ave Ste 200, Riverside, CA 92506-2163 • 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 Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Riverside	CA	12/2009	03/2020
Ameriprise Financial Services, Llc	Riverside	CA	03/2020	Present

12/2009 → 03/2020

Ameriprise Financial Services, Inc.

Riverside, CA
03/2020 → Present

Ameriprise Financial Services, Llc

Riverside, CA

Previous Registrations

2002-12-19 → 2009-12-23

Waddell & Reed

Las Vegas, NV

Costa Mesa, CA

Pasadena, CA

Irvine, CA

Whittier, CA

Whittier, CA

Other Businesses

Independent Insurance Brokering; Anthem Blue Cross; 08/03/2011; / BenefitMall; 08/03/2011; . Business Ownership; JOHN R. SOWARD, CPA; ; Tax Preparation; 3400 Central Avenue, Suite 200 Riverside, CA 92506, ,; Not Investment-Related; 01/01/2003; 10 to 19 hours per month; 1 to 9 during trading hours. Fiduciary Activities. Outside Employment; MT. SAN ANTONIO COLLEGE; ADJUNCT PROFESSOR -; Public post-secondary education/ community college; 1100 N. GRAND AVE. WALNUT, CA 91789, ,; Not Investment-Related; 01/15/2003; 1 to 9 hours per month; 0 during trading hours.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2002-12-18

S66 Uniform Combined State Law Examination

2002-12-18

View on SEC IAPD