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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2018-08-31 |
| TX | RA | APPROVED | 2018-08-31 |
Branch Locations
520 Newport Center Dr Ste 1700, Newport Beach, CA 92660 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Irvine | CA | 10/2013 | 08/2018 |
| Wells Fargo Clearing Services, Llc | Newport Beach | CA | 08/2018 | Present |
MELISSA BAUSLEY, NOT INVT RELATED, SANTA ANA, CA, 100% OWNERSHIP, START DATE 3/1/2021, 5 HRS PER MONTH, 0 HRS DURING TRADING, SOLE PROPRIETORSHIP TEACHING MUSIC LESSONS. RENTAL PROPERTY, INVT RELATED, HENDERSON, NV, 100% OWNERSHIP, START DATE 11/19/2022, 0 HRS PER MONTH, 0 HRS DURING TRADING, OWNER.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-06-05 |
| S63 | Uniform Securities Agent State Law Examination | 2012-05-12 |
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