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115 Broadway 5Th Floor, New York, NY 10006 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2025-06-20 |
| TX | RA | APPROVED | 2025-06-20 |
Branch Locations
115 Broadway 5Th Floor, New York, NY 10006 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Southern Cross, L.L.C. | Indianola | IA | 01/1996 | Present |
| Ameriprise Financial Services, Inc. | West Des Moines | IA | 10/2015 | 03/2020 |
| Ameriprise Financial Services, Llc | West Des Moines | IA | 03/2020 | 06/2025 |
| Compound Planning, Inc. | New York | NY | 06/2025 | Present |
Business Ownership; Other; Other; 1111 N Jefferson Way, , Indianola, IA, 50125; Not Investment-Related; 09/01/1990; 20 to 39 hours per month; 0 during trading hours / Other; Other; 1111 N Jefferson Way, , Indianola, IA, 50125; Not Investment-Related; 01/01/1989; 1 to 9 hours per month; 0 during trading hours. Outside Employment; Outside Employment;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-11-04 |
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