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34 Fountain Square Plaza Md 1090Xb, Cincinnati, OH 45263 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-07-09 |
Branch Locations
611 Anton Blvd. Suite 200, Costa Mesa, CA 92626 • United States
901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-05-26 |
| CA | RA | APPROVED | 2024-03-29 |
Branch Locations
611 Anton Blvd Ste 200, Costa Mesa, CA 92626 • United States
Irvine, CA • United States
1 disclosure category 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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| U.S. Bancorp Investments, Inc. | Newport Beach | CA | 06/2013 | 03/2024 |
| Ameriprise Financial Services, Llc | Costa Mesa | CA | 03/2024 | Present |
| Fifth Third Securities | Costa Mesa | CA | 07/2026 | Present |
Outside Employment; Comerica; Dual employee with Comerica/Ameriprise; Dual employee with Comerica/Ameriprise; 611 Anton Blvd, Ste 200, , Costa Mesa, CA, 92626; Not Investment-Related; 03/20/2024; 60 hours per month; 60 during trading hours. Other Business Activities; Financial Oxygen/Maestro; FO2 is a cash management platform for corporate and institutional clients.; 611 Anton Blvd, Ste 200, , Costa Mesa, CA, 92626; Not Investment-Related; 03/20/2024; 60 hours per month; 60 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-05-30 |
| S63 | Uniform Securities Agent State Law Examination | 2008-04-29 |
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