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Kristen Amy Niimi Moura

Ameriprise Financial Services, LLC

Honolulu, HI

Honolulu, HI

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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
HI RA APPROVED 2017-08-24
  • HI RA
    APPROVED
    Since 2017-08-24

Branch Locations

1585 Kapiolani Blvd Ste 1304, Honolulu, HI 96814-4523 • United States

Honolulu, HI • 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
Mark S. Shirakata Honolulu HI 05/2005 08/2017
Signator Investors, Inc. Honolulu HI 05/2016 03/2017
Royal Alliance Associates Honolulu HI 03/2017 08/2017
Ameriprise Financial Services, Inc. Honolulu HI 08/2017 03/2020
Ameriprise Financial Services, Llc Honolulu HI 03/2020 Present
  • 05/2005 → 08/2017
    Mark S. Shirakata
    Honolulu, HI
  • 05/2016 → 03/2017
    Signator Investors, Inc.
    Honolulu, HI
  • 03/2017 → 08/2017
    Royal Alliance Associates
    Honolulu, HI
  • 08/2017 → 03/2020
    Ameriprise Financial Services, Inc.
    Honolulu, HI
  • 03/2020 → Present
    Ameriprise Financial Services, Llc
    Honolulu, HI
Previous Registrations
  • 2017-03-15 → 2017-08-29
    Osaic Wealth, Inc.
    Honolulu, HI
  • 2016-05-13 → 2017-03-15
    Signator Investors, Inc.
    Honolulu, HI
    Honolulu, HI
  • 2009-09-04 → 2016-05-13
    Transamerica Financial Advisors, Llc
    Honolulu, HI
  • 2009-01-02 → 2009-09-04
    Transamerica Financial Advisors, Inc.
    Honolulu, HI
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-01-30
  • S66 Uniform Combined State Law Examination
    2007-01-30
Other Names
  • Kristen Amy Niimi
  • Kristen Amy Niimi
  • Kristen Amy Niimi Moura

View on SEC IAPD

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KELII JK KIAKONA
ERIC-ALLEN TSUTOMU CHING
JENNIFER LEE KUANONI
TYLER YOSHIO TAKAHATA
CHASE SANTOS

Other Offices

REGENCY CAPITAL MANAGEMENT INC. · HONOLULU, HI
WEALTH ALIGNMENT PARTNERS, LLC · HONOLULU, HI
WELLS FARGO CLEARING SERVICES, LLC · HONOLULU, HI
DIVERSIFY ADVISORY SERVICES, LLC · Honolulu, HI
DIVERSIFY ADVISORY SERVICES, LLC · HONOLULU, HI
CETERA INVESTMENT ADVISERS LLC · HONOLULU, HI
MML INVESTORS SERVICES, LLC · HONOLULU, HI
COMMONWEALTH FINANCIAL NETWORK · Honolulu, HI

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