Adrian Rosendo Castillo

Current Employers

Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2023-11-28

CA RA
APPROVED

Since 2023-11-28

Branch Locations

801 S Ham Ln Ste H, Lodi, CA 95242-7502 • United States

San Jose, CA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Jp Morgan Chase Bank	San Jose	CA	07/2013	06/2022
Jp Morgan Securities Llc	San Jose	CA	09/2014	06/2022
Amazon	Newark	CA	11/2018	01/2020
Ameriprise Financial Services, Llc	Lodi	CA	06/2022	Present

07/2013 → 06/2022

Jp Morgan Chase Bank

San Jose, CA
09/2014 → 06/2022

Jp Morgan Securities Llc

San Jose, CA
11/2018 → 01/2020

Amazon

Newark, CA
06/2022 → Present

Ameriprise Financial Services, Llc

Lodi, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2023-11-17
S63	Uniform Securities Agent State Law Examination	2015-02-18

S65 Uniform Investment Adviser Law Examination

2023-11-17
S63 Uniform Securities Agent State Law Examination

2015-02-18

Other Names

Adrian R Castillo

View on SEC IAPD

Current Employers

Ameriprise Financial Services, Llc

Disclosures

Employment History

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews