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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 2012-11-05
CA RA APPROVED 2004-09-24
  • TX RA
    APPROVED_RES
    Since 2012-11-05
  • CA RA
    APPROVED
    Since 2004-09-24

Branch Locations

225 W Santa Clara St Ste 1600, San Jose, CA 95113-1723 • United States

San Jose, 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. Campbell CA 03/2004 03/2020
Ameriprise Financial Services, Llc San Jose CA 03/2020 Present
Other Businesses

Real Estate Ownership; Single Family; 5252 Halifax DriveSan Jose, CA 95130, ,; Investment-Related; 08/07/2015. Board of Directors; American Beethoven Society; Trustee; San Jose State UniversityOne Washington SquareSan Jose, CA 95192, -0171,; ; ; 1 to 9 hours per month; .

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-07-06
  • S66 Uniform Combined State Law Examination
    2004-07-06
Other Names
  • Wanda Le

View on SEC IAPD

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