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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2020-10-08 |
| TX | RA | APPROVED_RES | 2020-10-08 |
Branch Locations
1000 4Th St Ste 300, San Rafael, CA 94901 • United States
San Anselmo, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | San Francisco | CA | 12/2010 | 10/2020 |
| Ameriprise Financial Services, Llc | San Rafael | CA | 10/2020 | Present |
Real Estate Ownership; Single Family; 408 Quintara Street, , San Francisco, CA, 94116; Not Investment-Related; 11/01/2020 / Single Family; 1059 Portola Drive, , San Francisco, CA, 94127; Not Investment-Related; 12/01/2019. Other Business Activities; Serving Others Worldwide (S.O.W.); Provide pro bono financial advice and planning to low-income immigrants; 22274 Main Street, , Hayward, CA, 94541; Not Investment-Related; 05/20/2022; 0 during trading hours; 1 to 9 hours per month.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-10-15 |
| S63 | Uniform Securities Agent State Law Examination | 2003-07-07 |
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