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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NV RA APPROVED 2017-02-16
  • NV RA
    APPROVED
    Since 2017-02-16

Branch Locations

709 E Telegraph St, Carson City, NV 89701 • United States

Santa Clara, CA • 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
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Concord CA 01/2009 03/2020
Ameriprise Financial Services, Llc Pleasanton CA 03/2020 Present
Previous Registrations
Other Businesses

Real Estate Ownership; Multi-Family; 1365 Bellomy StreetSanta Clara, CA 95050, ,; Not Investment-Related; 10/05/1997 / Multi-Family; 925 Harrison StreetSanta Clara, CA 95050, ,; Not Investment-Related; 06/10/1999 / Single Family; 1386 Main Street, Santa Clara, CA 95050Rental unit on property o, ,; Not Investment-Related; 02/15/2012 / Multi-Family; 2440 Cochran Road, Lodi, CAApartment Complex, ,; Not Investment-Related; 04/18/2014 / Multi-Family; 561 and 567 Franklin StreetSanta Clara, CA 95050, ,; Not Investment-Related; 07/01/2019. Board of Directors; JW House; Student Board Moderator; 3850 Homestead Road, , Santa Clara, CA, 95051; Not Investment-Related; 01/06/2025; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-01-31
  • S66 Uniform Combined State Law Examination
    2017-01-31
Other Names
  • Leilani Patricia Chu

View on SEC IAPD

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