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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 2021-07-14
CA RA APPROVED 2009-07-14
  • TX RA
    APPROVED
    Since 2021-07-14
  • CA RA
    APPROVED
    Since 2009-07-14

Branch Locations

2033 N Main St Ste 363, Walnut Creek, CA 94596 • United States

Danville, 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. Walnut Creek CA 07/2009 03/2020
Ameriprise Financial Services, Llc Walnut Creek CA 03/2020 Present
Previous Registrations
Other Businesses

Real Estate Ownership; Multi-Family; 239 2nd Avenue, , San Francisco, CA, 94118; Investment-Related; 01/31/2021.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-08-29
  • S66 Uniform Combined State Law Examination
    2003-08-29
Other Names
  • Edmund Chungmun Pan

View on SEC IAPD

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