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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-11-17 |
Branch Locations
24 Waterway Ave Ste 1400, The Woodlands, TX 77380-3391 • United States
The Woodlands, TX • United States
3 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 |
|---|---|---|---|---|
| Oppenheimer & Co. Inc. | The Woodlands | TX | 01/2012 | 11/2021 |
| Ameriprise Financial Services Llc | The Woodlands | TX | 11/2021 | Present |
Business Ownership; Lakeland Terrace, LLC; Limited Partner. No roles or responsibilities; Real Estate; 1855 Crane Ridge Drive, , Jackson, MS, 39216; Investment-Related; 01/01/1999; 0 hours per month; 0 during trading hours / The Pinelands,LLC; None; Real Estate; 1855Crane Ridge Drive, , Jackson, MS, 39216; Investment-Related; 10/01/2021; 0 hours per month; 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-07-13 |
| S63 | Uniform Securities Agent State Law Examination | 1993-01-09 |
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