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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2025-02-28 |
| TX | RA | APPROVED | 2025-02-28 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Edwardjones | St Louis | MO | 11/2008 | 02/2025 |
| Ameriprise Financial Services, Llc | Dixon | IL | 02/2025 | Present |
Real Estate Ownership; Lot/Land; 5412 S. Lowell Park Rd, , Dixon, IL, 61021; Not Investment-Related; 11/15/2025. Independent Insurance Brokering; MassMutual; 07/29/2025; Fixed Annuity. Business Ownership; Thormia, LLC; Owner; Real Estate; 4 Augusta Drive, , Galena, IL, 61021; Not Investment-Related; 04/20/2021; 0 hours per month; 0 during trading hours / Lokito, LLC; Owner; Real Estate; 119 W. 1st Street, , Dixon, IL, 61021; Not Investment-Related; 03/24/2025; 1 to 9 hours per month; 0 during trading hours / Rock River Wealth Management LLC; Owner; Manage Ameriprise Business; 119 W. 1st Street, , Dixon, IL, 61021; Not Investment-Related; 03/10/2025; 60 hours per month; 60 during trading hours / H&W Very Rare, LLC; Co-owner; Real Estate; 5412 S. Lowell Park Rd, , Dixon, IL, 61021; Not Investment-Related; 11/15/2025; 1 to 9 hours per month; 0 during trading hours. Board of Directors; Briar Knoll Board; Secretary; 1520 Briar Knoll Road, , Amboy, IL, 61310; Investment-Related; 11/09/2025; 1 to 9 hours per month; 0 during trading hours / Lee County Industrial Development; Board Member; 102 S. Hennepin Ave, , Dixon, IL, 61021; Not Investment-Related; 02/28/2025; 1 to 9 hours per month; 0 during trading hours. Outside Employment; Rock River Wealth Management, LLC; Owner; Manage advisory business; 119 W. 1st Street, , Dixon, IL, 61021; Not Investment-Related; 03/11/2025; 60 hours per month; 60 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-05-10 |
| S63 | Uniform Securities Agent State Law Examination | 2007-04-30 |
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