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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MS | RA | APPROVED | 2026-04-28 |
| WA | RA | APPROVED | 2026-04-24 |
| AR | RA | APPROVED | 2026-04-23 |
| DE | RA | APPROVED | 2026-04-23 |
| NV | RA | APPROVED | 2026-04-23 |
| OK | RA | APPROVED | 2026-04-23 |
| RI | RA | APPROVED | 2026-04-23 |
| VA | RA | APPROVED | 2026-04-23 |
| AL | RA | APPROVED | 2026-04-22 |
| NE | RA | APPROVED | 2026-04-22 |
| TX | RA | APPROVED_RES | 2024-10-28 |
| NC | RA | APPROVED | 2024-10-11 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | San Diego | CA | 09/2014 | 10/2016 |
| Mossy Nissan Oceanside | Oceanside | CA | 10/2016 | 11/2016 |
| Ford Of Escondido | Escondido | CA | 12/2016 | 06/2017 |
| Unemployed | Carlsbad | CA | 07/2017 | 09/2017 |
| Jp Morgan Chase Bank | Carlsbad | CA | 10/2017 | 07/2020 |
| Jp Morgan Securities Llc | Carlsbad | CA | 10/2017 | 07/2020 |
| Fifth Third Bank | Charlotte | NC | 07/2020 | 09/2021 |
| Fifth Third Securities | Charlotte | NC | 12/2020 | 09/2021 |
| Wells Fargo Clearing Services, Llc | Charlotte | NC | 10/2021 | 08/2024 |
| Wells Fargo Bank, Na | Charlotte | NC | 09/2021 | 08/2024 |
| Ameriprise Financial Services, Llc | Charlotte | NC | 10/2024 | Present |
| Unemployed | Waxhaw | NC | 09/2024 | 10/2024 |
Name of Activity: Rental Ownership; Date Activity Started/Modified:2026-05-01; Address of Activity: 7532 Happy Hollow Dr, Mint Hill; Type of Activity: Investment Real Estate; Describe if any other Activity:; Role/Relationship: Owner/ Proprietor; Describe if any other Roles/Relationship:; Responsibilities: None; Total Hours Per Month: 0 to 20; Total Hours Per Month During Trading Hours: 0 to 20; Does this activity include providing investment advice, conducting securities trading or managing the assets of others?:No;-- END ---
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-02-18 |
| S63 | Uniform Securities Agent State Law Examination | 2012-04-23 |
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