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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2014-05-21
CA RA APPROVED 2007-12-17
  • TX RA
    APPROVED_RES
    Since 2014-05-21
  • CA RA
    APPROVED
    Since 2007-12-17

Branch Locations

3390 University Ave Ste 260, Riverside, CA 92501 • United States

3401 Centre Lake Drive Suite 670, Ontario, CA 91761-1207 • United States

Los Angeles, 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
Ameriprise Financial Services, Inc. Riverside CA 07/2007 03/2020
Ameriprise Financial Services, Llc Riverside CA 03/2020 Present
Other Businesses

Business Ownership; Athena Holdings Group LLC; Manager; This is a holding company only.; 645 W 9th Street #503, , Los Angeles, CA, 90015; Not Investment-Related; 01/01/2023; 1 to 9 hours per month; 0 during trading hours / Mission Partnership Group LLC; Co-manager of business operations.; Entity used for business operations and staff.; 3390 University Ave, #260, , Riverside, CA, 92501; Investment-Related; 01/01/2023; 20 to 39 hours per month; 10 to 19 during trading hours. Board of Directors; Board of Trustees; Treasurer; 3425 Mission Inn Ave, , Riverside, CA, 92501; Not Investment-Related; 09/18/2023; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-12-13
  • S66 Uniform Combined State Law Examination
    2007-12-13

View on SEC IAPD

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