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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 2024-01-10
CA RA APPROVED 2008-11-03
  • TX RA
    APPROVED_RES
    Since 2024-01-10
  • CA RA
    APPROVED
    Since 2008-11-03

Branch Locations

6701 Center Dr W Ste 700, Los Angeles, CA 90045-1547 • United States

Simi Valley, 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 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. Beverly Hills CA 11/2008 03/2020
Ameriprise Financial Services, Llc Los Angeles CA 03/2020 Present
Previous Registrations
Other Businesses

Business Ownership; A-1G Skyraider, LLC; Co-owner; Real Estate; 490 Krenwinkle Ct, , Simi Valley, CA, 93065; Investment-Related; 08/15/2023; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-08-18
  • S66 Uniform Combined State Law Examination
    2003-08-18

View on SEC IAPD

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