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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2021-11-29 |
| NY | RA | APPROVED | 2021-10-19 |
| TX | RA | APPROVED | 2021-10-19 |
Branch Locations
1174 Veterans Memorial Hwy, Hauppauge, NY 11788 • United States
Edina, MN • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Riversource Distributors Inc. | Minneapolis | MN | 04/2008 | 06/2021 |
| Ameriprise Financial Services, Llc | Hauppauge | NY | 06/2021 | Present |
Outside Employment; Certainty of the Uncertainty, LLC; Employee of legal entity; Compensation received from an advisor owned entity established to manage the practice.; 1174 Veterans Memorial HWY, , Hauppauge, MN, 11788; Investment-Related; 01/01/2022; 60 hours per month; 60 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-09-23 |
| S63 | Uniform Securities Agent State Law Examination | 2008-07-11 |
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