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Current Employers
Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2023-11-03
  • CA RA
    APPROVED
    Since 2023-11-03

Branch Locations

2029 Cenury Park E Ste 800, Los Angeles, CA 90067 • United States

Redondo Beach, 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
Union Bank Beverly Hills CA 08/2013 10/2016
Unionbanc Investment Services Beverly Hills CA 10/2013 10/2016
Wells Fargo Advisors Los Angeles CA 10/2016 11/2016
Wells Fargo Bank Los Angeles CA 10/2016 02/2022
Wells Fargo Clearing Services, Llc Los Angeles CA 11/2016 02/2022
Mufg Union Bank Los Angeles CA 02/2022 05/2023
Unionbanc Investment Services Los Angeles CA 02/2022 05/2023
U.S. Bancorp Investments, Inc. Los Angeles CA 05/2023 08/2023
U.S. Bank Los Angeles CA 05/2023 08/2023
Comerica Los Angeles CA 08/2023 11/2023
Ameriprise Financial Services, Llc Los Angeles CA 11/2023 Present
  • 08/2013 → 10/2016
    Union Bank
    Beverly Hills, CA
  • 10/2013 → 10/2016
    Unionbanc Investment Services
    Beverly Hills, CA
  • 10/2016 → 11/2016
    Wells Fargo Advisors
    Los Angeles, CA
  • 10/2016 → 02/2022
    Wells Fargo Bank
    Los Angeles, CA
  • 11/2016 → 02/2022
    Los Angeles, CA
  • 02/2022 → 05/2023
    Mufg Union Bank
    Los Angeles, CA
  • 02/2022 → 05/2023
    Unionbanc Investment Services
    Los Angeles, CA
  • 05/2023 → 08/2023
    Los Angeles, CA
  • 05/2023 → 08/2023
    U.S. Bank
    Los Angeles, CA
  • 08/2023 → 11/2023
    Comerica
    Los Angeles, CA
  • 11/2023 → Present
    Los Angeles, CA
Previous Registrations
Other Businesses

Business Ownership; 9 Months Later, LLC; Co-owner; Retail; 2103 Bataan Rd, Unit B, Redondo Beach, CA, 90278; Not Investment-Related; 08/29/2014; 0 hours per month; 0 during trading hours. Outside Employment; Comerica Bank; Private Banking Advisor, Senior Vice President; I am a Private Banking Advisor for Comerica Bank.; 2029 Century Park East, Ste. 800, Century City, CA, 90067; Investment-Related; 08/21/2023; 40 to 59 hours per month; 40 to 59 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-06-30
S63 Uniform Securities Agent State Law Examination 2004-10-14
  • S66 Uniform Combined State Law Examination
    2014-06-30
  • S63 Uniform Securities Agent State Law Examination
    2004-10-14
Other Names
  • Sanjay Gobind Chugani
  • Sanjay G Chugani
  • Sanjay Chugani

View on SEC IAPD

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