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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 1997-12-15
  • CA RA
    APPROVED
    Since 1997-12-15

Branch Locations

319 E Carrillo St Ste 107, Santa Barbara, CA 93101 • United States

Santa Barbara, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Santa Barbara CA 09/2005 03/2020
Ameriprise Financial Services, Llc Santa Barbara CA 03/2020 Present
Other Businesses

Independent Insurance Brokering; Anthem; 04/01/1993; . Board of Directors; UC Santa Barbara Planned Giving Advisors Network; Committee Member; UC Santa Barbara, Office of Development 4219 Cheadle HallSanta B, arbara, CA 93106-2013,; ; 11/14/2013; 1 to 9 hours per month; 0 during trading hours. Other Business Activities; Finance and Investment Committee for the Santa Barbara Botanic Garden; Regular Committee meetings to review the Budget, Profit & Loss statement, Balance Sheet and Investment reports from the investment managers for the organization's Endowment; 1212 Mission Canyon Rd, , Santa Barbara, CA, 93105; Investment-Related; 11/16/2023; 1 to 9 hours per month; 0 during trading hours / Environmental Defense Center Investment Committee; Quarterly committee meetings with the investment managers of the Endowment fund for the Environmental Defense Center. No advice nor fiduciary responsibility involved.; 906 Garden St, , Santa Barbara, CA, 93101; Investment-Related; 11/01/2023; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1992-08-14
  • S63 Uniform Securities Agent State Law Examination
    1992-08-14

View on SEC IAPD

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