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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2019-01-04 |
Branch Locations
711 W Bay Area Blvd Ste 400, Webster, TX 77598 • United States
Houston, TX • 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 |
|---|---|---|---|---|
| State Farm Vp Management Corp | Pasadena | TX | 02/2003 | 03/2017 |
| Ken Phelps Insurance Agency | Pasadena | TX | 01/2003 | 04/2017 |
| John Phelps Insurance Agency | Pasadena | TX | 01/2003 | 04/2017 |
| Ameriprise Financial Services Inc | Pasadena | TX | 04/2017 | 03/2020 |
| Ameriprise Financial Services, Llc | Pasadena | TX | 03/2020 | Present |
Outside Employment; DGW Worldwide,LLC; EMPLOYEE; Manage advisory business; 711 W BAY AREA BLVD,400, , WEBSTER, TX, 77598; Investment-Related; 02/24/2021; 60 hours per month; 60 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-12-21 |
| S63 | Uniform Securities Agent State Law Examination | 1993-12-15 |
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