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Colin James Simpson

Ameriprise Financial Services, LLC

Roseville, CA

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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 2021-10-13
  • CA RA
    APPROVED
    Since 2021-10-13

Branch Locations

1420 Rocky Ridge Dr Ste 200, Roseville, CA 95661 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Bank, Na Lincoln CA 10/2010 09/2021
Wells Fargo Advisors, Llc Reno NV 10/2011 11/2016
Wells Fargo Clearing Services, Llc Lincoln CA 11/2016 09/2021
Ameriprise Financial Services, Llc Roseville CA 09/2021 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-01-08
S63 Uniform Securities Agent State Law Examination 2011-12-05
  • S65 Uniform Investment Adviser Law Examination
    2021-01-08
  • S63 Uniform Securities Agent State Law Examination
    2011-12-05

View on SEC IAPD

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Other Offices

DCA FAMILY OFFICE, LLC · ROSEVILLE, CA
DCA MANAGEMENT COMPANY, INC. · ROSEVILLE, CA
MUTUAL ADVISORS, LLC · Roseville, CA
DCA FAMILY OFFICE, LLC · Roseville, CA
COMMONWEALTH FINANCIAL NETWORK · Roseville, CA
EDWARD JONES · ROSEVILLE, CA
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC · Roseville, CA
MERCER GLOBAL ADVISORS INC. · ROSEVILLE, CA

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