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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2024-08-10 |
Branch Locations
2727 Allen Pkwy., Ste. 1500, Houston, TX 77019-2127 • United States
2615 Calder Ave Ste 150, Beaumont, TX 77702-1957 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Houston | TX | 01/2012 | 08/2024 |
| Ameriprise Financial Services, Llc | Beaumont | TX | 08/2024 | Present |
Business Ownership; Q5 Operations LLC; Co-owner; Manage Ameriprise Business; 2615 Calder Ave, #1500, Beaumont, TX, 77702; Investment-Related; 08/09/2024; 60 hours per month; 60 during trading hours / EP1 LLC; Owner; Retail; 2615 Calder Ave, Ste 150, Beaumont, TX, 77702; Investment-Related; 08/02/2024; 60 hours per month; 60 during trading hours. Outside Employment; Q5 Operations LLC; Co-owner; Manage advisory business; 2615 Calder Ave, Ste 150, Beaumont, TX, 77702; Investment-Related; 08/02/2024; 60 hours per month; 60 during trading hours / EP1 LLC; Owner; Manage advisory business; 2615 Calder Ave, Ste 150, Beaumont, TX, 77702; Investment-Related; 08/02/2024; 60 hours per month; 60 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-09-19 |
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