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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-01-03 |
Branch Locations
El Cerrito, CA • United States
255 Shoreline Dr Ste 400, Redwood City, CA 94065 • 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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Albany | CA | 03/2014 | 12/2018 |
| Bank Of America, N.A. | Albany | CA | 08/2014 | 12/2018 |
| Cetera Investment Services Llc | St. Cloud | MN | 12/2018 | 01/2025 |
| Cetera Investment Advisers Llc | San Mateo | CA | 12/2018 | 01/2025 |
| East West Bank | San Mateo | CA | 12/2018 | 01/2025 |
| Ameriprise Financial Services, Llc | Redwood Shores | CA | 01/2025 | Present |
Real Estate Ownership; Single Family; 717 Buchanan Street, , Albany, CA, 94706; Not Investment-Related; 08/01/2025 / Single Family; 1586 Crested Eagle Street, , Las Vegas, NV, 89138; Not Investment-Related; 11/26/2025. Independent Insurance Brokering; KNIGHTHEAD ANNUITY; 01/03/2025; Fixed Annuity / SYMETRA LIFE INSURANCE COMPANY; 02/24/2020; Universal Life.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-06-26 |
| S63 | Uniform Securities Agent State Law Examination | 2011-05-19 |
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