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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-01-27 |
| WA | RA | APPROVED | 2021-01-05 |
Branch Locations
310 120Th Ave Ne Ste 101, Bellevue, WA 98005 • United States
Maple Valley, WA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Renton | WA | 07/2015 | 09/2016 |
| Ameriprise Financial Services, Inc. | Renton | WA | 09/2016 | 05/2017 |
| Ameriprise Financial Services, Llc | Bellevue | WA | 12/2019 | Present |
| Washington State Auditor's Office | Olympia | WA | 06/2017 | 01/2020 |
Business Ownership; Readermind Consulting LLC; Owner; Manage Ameriprise Business; 310 120TH AVE NE, SUITE 101, Bellevue, WA, 98005; Not Investment-Related; 02/01/2024; 1 to 9 hours per month; 0 during trading hours. Outside Employment; Thumper Enterprises LLC; Chief Operations Officer - Manage day to day operations of LLC including practice management for Advisor, expense management, employee supervision.; ; 150 120th Ave NE STE 205, , Bellevue, WA, 98005; Not Investment-Related; 01/01/2021; 40 to 59 hours per month; 20 to 39 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-12-30 |
| S65 | Uniform Investment Adviser Law Examination | 2011-12-18 |
| S63 | Uniform Securities Agent State Law Examination | 2007-08-16 |
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