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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-08-12 |
| UT | RA | APPROVED | 2024-07-11 |
| TX | RA | APPROVED_RES | 2019-09-20 |
Branch Locations
1715 E Skyline Dr Ste 151, Tucson, AZ 85718 • United States
Carlsbad, CA • United States
Tucson, AZ • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney Llc | Tucson | AZ | 06/2009 | 09/2019 |
| Morgan Stanley Private Bank, N.A. | New York | NY | 01/2015 | 09/2019 |
| Ameriprise Financial Services Inc | Tucson | AZ | 09/2019 | 03/2020 |
| Ameriprise Financial Service, Llc | Tucson | AZ | 09/2019 | Present |
Other Business Activities; UAVENTURECAPITAL; I am an investor in UA Venture Capital Find III . The Fund is proposing to consolidate with Funds 1,2,3, & 4. To form one 'Continuation Fund'; for easy of accounting and management. I have been asked to serve on an Advisor Committee: brief description below. Advisory Committee means the committee composed of independent Members of the Company who will review the Valuations and the fairness of the terms of Fund IV's acquisition of the Portfolio Investments. ; 607 N 6th Ave, , Tucson, AZ, 85705; Investment-Related; 02/15/2024; 10 to 19 hours per month; 1 to 9 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-04-03 |
| S63 | Uniform Securities Agent State Law Examination | 1991-01-02 |
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