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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-05-06 |
| TX | RA | APPROVED | 2024-05-03 |
Branch Locations
Lake Havasu City, AZ • United States
660 Newport Center Dr Ste 800, Newport Beach, CA 92660 • United States
2 disclosure categories 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 |
|---|---|---|---|---|
| Raymond James & Associates | Newport Beach | CA | 09/2014 | 05/2024 |
| Raymond James & Associates, Inc. | Lake Havasu | AZ | 01/2015 | 05/2024 |
| Ameriprise Financial Services, Llc | Irvine | CA | 05/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-10-11 |
| S63 | Uniform Securities Agent State Law Examination | 1991-04-17 |
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