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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-01-22 |
Branch Locations
1300 Hercules Ave Ste 205, Houston, TX 77058 • United States
Houston, TX • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Houston | TX | 10/1996 | 12/2018 |
| Ameriprise Financial Services, Inc. | Houston | TX | 12/2018 | 03/2020 |
| Ameriprise Financial Services, Llc | Houston | TX | 03/2020 | Present |
Business Ownership; Hart Creations LLC; Sole Member; Small retail, shirts, gifts, etc. No storefront; 703 Lochnell Dr, , Houston, TX, 77062; Not Investment-Related; 10/01/2021; 20 to 39 hours per month; 0 during trading hours. Outside Employment; Hart Creations LLC; Manager - Sole member and employee; ; 703 Lochnell Dr, , Houston, TX, 77062; Not Investment-Related; 10/01/2021; 20 to 39 hours per month; 0 during trading hours. Other Business Activities; Clear Lake High School Baseball Booster Club; Secretary for the Baseball Booster Club; P O Box 891063, , Houston, TX, 77289; Not Investment-Related; 05/01/2023; 10 to 19 hours per month; 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-03-16 |
| S63 | Uniform Securities Agent State Law Examination | 2003-10-03 |
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