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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-11-28 |
Branch Locations
800 S Barranca Ave Ste 110, Covina, CA 91723-3625 • United States
4758 Lankershim Blvd, North Hollywood, CA 91602-1833 • United States
527 S Lake Ave Ste 100, Pasadena, CA 91101-3535 • United States
View Park, CA • 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 |
|---|---|---|---|---|
| Invest Financial Corp. | Glendale | CA | 01/2013 | 11/2017 |
| Jp Morgan Securities, Llc | Altadena | CA | 10/2017 | 11/2023 |
| Ameriprise Financial Service, Llc | Pasadena | CA | 11/2023 | Present |
Outside Employment; California Credit Union; Financial Advisor; Manage advisory business; 527 S Lake Ave, Suite 100, Pasadena, CA, 91101; Investment-Related; 11/27/2023; 60 hours per month; 60 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-03-13 |
| S63 | Uniform Securities Agent State Law Examination | 1992-01-02 |
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