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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 2022-06-30
  • CA RA
    APPROVED
    Since 2022-06-30

Branch Locations

3027 Townsgate Rd Ste 200, Westlake Village, CA 91361-5863 • United States

Sherman Oaks, CA • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Beverly Hills CA 09/2010 11/2016
Wells Fargo Clearing Services, Llc Beverly Hills CA 11/2016 06/2022
Ameriprise Financial Services, Llc Westlake Village CA 06/2022 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-05-30
  • S66 Uniform Combined State Law Examination
    2000-05-30

View on SEC IAPD

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