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Gordon Lee Mak

Ameriprise Financial Services, LLC

San Francisco, CA

San Francisco, CA

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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 2021-06-01
CA RA APPROVED 2016-03-25
  • TX RA
    APPROVED_RES
    Since 2021-06-01
  • CA RA
    APPROVED
    Since 2016-03-25

Branch Locations

44 Montgomery St Ste 3100, San Francisco, CA 94104 • United States

San Francisco, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • 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. San Francisco CA 03/2016 03/2020
Ameriprise Financial Services, Llc San Francisco CA 03/2020 Present
Previous Registrations
  • 2009-10-23 → 2016-03-29
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    San Francisco, CA
    San Francisco, CA
    San Francisco, CA
  • 2007-05-04 → 2009-10-23
    Banc Of America Investment Services, Inc.
    San Francisco, CA
    San Francisco, CA
  • 2007-04-02 → 2007-05-09
    Morgan Stanley & Co. Llc
    San Francisco, CA
  • 2004-05-04 → 2007-04-02
    Morgan Stanley Dw Inc.
    San Francisc, CA
    San Francisco, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-04-02
  • S66 Uniform Combined State Law Examination
    2004-04-02
Other Names
  • Gordon Mak

View on SEC IAPD

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Other Offices

FORT POINT CAPITAL PARTNERS LLC · SAN FRANCISCO, CA
DIVISAR CAPITAL MANAGEMENT, LLC · SAN FRANCISCO, CA
CHARLES SCHWAB & CO., INC. · San Francisco, CA
1SHARPE CAPITAL LLC · SAN FRANCISCO, CA
RBC SECURITIES, INC · SAN FRANCISCO, CA
STRATEGIC ADVISERS LLC · SAN FRANCISCO, CA
VALEAS CAPITAL PARTNERS · SAN FRANCISCO, CA
ZENTARA EXCHANGE LTD · SAN FRANCISCO, CA

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