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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 2018-06-04
  • CA RA
    APPROVED
    Since 2018-06-04

Branch Locations

24025 Park Sorrento Ste 440, Calabasas, CA 91302-4018 • United States

Woodland Hills, CA • 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
Scottrade St. Louis MO 10/2015 06/2017
Scottrade Thousand Oaks CA 06/2017 03/2018
Unemployed Woodland Hls CA 03/2018 05/2018
Ameriprise Financial Services, Inc. Calabasas CA 05/2018 03/2020
Ameriprise Financial Services, Llc Calabasas CA 03/2020 Present
  • 10/2015 → 06/2017
    Scottrade
    St. Louis, MO
  • 06/2017 → 03/2018
    Scottrade
    Thousand Oaks, CA
  • 03/2018 → 05/2018
    Unemployed
    Woodland Hls, CA
  • 05/2018 → 03/2020
    Ameriprise Financial Services, Inc.
    Calabasas, CA
  • 03/2020 → Present
    Calabasas, CA
Previous Registrations
  • 2017-06-05 → 2018-03-09
    Scottrade Investment Management
    Saint Louis, MO
  • 2015-07-13 → 2015-07-24
    Waddell & Reed
    Springfield, MO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-07-11
  • S66 Uniform Combined State Law Examination
    2015-07-11

View on SEC IAPD

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