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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2017-08-31 |
| CA | RA | APPROVED | 2017-08-29 |
Branch Locations
3027 Townsgate Rd Ste 200, Westlake Village, CA 91361-5863 • United States
Oxnard, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Westlake Village | CA | 01/2015 | 06/2017 |
| Ameriprise Financial Services, Inc. | Wewtlake Village | CA | 06/2017 | 03/2020 |
| Ameriprise Financial Services, Llc | Westlake Village | CA | 03/2020 | Present |
Board of Directors; Board of Directors for The Coalition for Family Harmony; Member; 1000 Town Center Dr, Suite 500, Oxnard, CA, 93036; Not Investment-Related; 12/27/2023; 1 to 9 hours per month; 0 during trading hours. Outside Employment; Notary; Owner; Notary. Not working for any specific company. Simply want to be able to provide notary services outside of AMPF if/when opportunities arise.; 5163 Perkins Rd, , Oxnard, CA, 93033; Not Investment-Related; 05/02/2025; 1 to 9 hours per month; 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-03-31 |
| S63 | Uniform Securities Agent State Law Examination | 2012-08-21 |
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