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Carol Mackewicz

Ameriprise Financial Services, LLC

Oakland, CA

Walnut Creek, CA

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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 2020-10-12
  • CA RA
    APPROVED
    Since 2020-10-12

Branch Locations

1 Kaiser Plaza Ste 455, Oakland, CA 94612-3684 • United States

Walnut Creek, 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
Morgan Stanley & Co. Incorporated San Francisco CA 04/2005 04/2017
Ameriprise Financial Services, Inc Oakl CA 11/2017 03/2020
Unemployed Walnut Creek CA 05/2017 10/2017
Ameriprise Financial Services, Llc Oakland CA 03/2020 Present
  • 04/2005 → 04/2017
    Morgan Stanley & Co. Incorporated
    San Francisco, CA
  • 11/2017 → 03/2020
    Ameriprise Financial Services, Inc
    Oakl, CA
  • 05/2017 → 10/2017
    Unemployed
    Walnut Creek, CA
  • 03/2020 → Present
    Ameriprise Financial Services, Llc
    Oakland, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-06-14
S63 Uniform Securities Agent State Law Examination 2010-05-24
  • S66 Uniform Combined State Law Examination
    2019-06-14
  • S63 Uniform Securities Agent State Law Examination
    2010-05-24
Other Names
  • Carol Mackewicz
  • Carol Lee

View on SEC IAPD

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STATE FARM INVESTMENT MANAGEMENT CORP.
FM CAPITAL GROUP
FULL SPECTRUM CAPITAL MANAGEMENT COMPANY, LLC
FINANCIAL AVENGERS, INC.

Other Investors

GREGORY BURTON GILBERT
STERLING CARMEN HIRSCH
Mark CHRISTOPHER DeVito
Daire Peter Heneghan
Roscoe Herman Harris
AARON KURT PHILLIPS
WILLIAM STUART MONSTED
Randall w Silvey

Other Offices

INFINITY FINANCIAL SERVICES ADVISORY · OAKLAND, CA
CETERA INVESTMENT ADVISERS LLC · OAKLAND, CA
HOODOO · OAKLAND, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · OAKLAND, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Oakland, CA
FM CAPITAL GROUP · OAKLAND, CA
FULL SPECTRUM CAPITAL MANAGEMENT COMPANY, LLC · OAKLAND, CA
FINANCIAL AVENGERS, INC. · OAKLAND, CA

More in Oakland, CA

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