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Current Employers
Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2025-02-25
FL RA APPROVED 1992-06-05
  • TX RA
    APPROVED_RES
    Since 2025-02-25
  • FL RA
    APPROVED
    Since 1992-06-05

Branch Locations

9130 S Dadeland Blvd Ste 1903, Miami, FL 33156 • United States

Miami, FL • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Miami FL 05/1992 03/2020
Ameriprise Financial Services, Llc Miami FL 03/2020 Present
Other Businesses

Business Ownership; Hernando & Horvath, LLC; ; LLC used to pay business expenses; 9100 S. Dadeland Blvd. Suite 910 Miami, FL 33156, ,; Not Investment-Related; 02/01/2013; 1 to 9 hours per month; 1 to 9 during trading hours / FJ Hernando INC; President; S Corporation basically opened for advisor's own tax planning!; 13020 SW 92 Ave. Suite 409 Miami FL 33176, ,; Not Investment-Related; 04/10/2018; 1 to 9 hours per month; 0 during trading hours. Real Estate License; Yes.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-01-14
S63 Uniform Securities Agent State Law Examination 1996-06-07
  • S65 Uniform Investment Adviser Law Examination
    1997-01-14
  • S63 Uniform Securities Agent State Law Examination
    1996-06-07

View on SEC IAPD

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