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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2018-03-08 |
Branch Locations
250 Nicollet Mall Suite 2000, 16Th Floor, Minneapolis, MN 55401-1931 • United States
St. Paul, MN • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Minneapolis | MN | 10/2004 | 02/2017 |
| Financial Planning Solutions Llc | Cranston | RI | 02/2017 | 02/2018 |
| Rbc Capital Markets, Llc. | Minneapolis | MN | 02/2018 | Present |
(1) Outside Business Activities; I have written a book; I wrote a book, haven't created a business entity; I've written a book on financial decision making for high school graduates; writer; Not investment related; March 2017; 1-9 hours per month; 0 during trading hours. (2) NAME OF ENTITY: TBD ADDRESS: 711 Wilder Street S, Saint Paul, Minnesota 55116 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private Company START DATE: Nov 18, 2025 CAPACITY: Sole Proprietor DUTIES: Potential LLC/sole proprietorship for royalties (not yet established) HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-10-14 |
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