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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-01-29 |
| CA | RA | APPROVED | 2024-04-11 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Handel's Ice Cream | Redondo Beach | CA | 06/2016 | 05/2018 |
| Marymount California University | Rancho Palos Verdes | CA | 05/2018 | 09/2019 |
| Klean-Sweep Parking Lot Service, Inc. | Torrance | CA | 09/2019 | 07/2021 |
| Optimize Financial, Inc. | Laguna Hills | CA | 07/2021 | 03/2023 |
| Optimize Financial, Inc. | Laguna Hills | CA | 03/2023 | 10/2023 |
| Pruco Securities Llc | Orange | CA | 10/2023 | 03/2024 |
| The Prudential Insurance Company Of America | Orange | CA | 02/2024 | 03/2024 |
| Ameriprise Financial Services, Llc | San Dimas | CA | 04/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2023-12-13 |
| S65 | Uniform Investment Adviser Law Examination | 2023-01-06 |
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