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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2020-11-20 |
Branch Locations
1300 Hercules Ave Ste 205, Houston, TX 77058 • United States
Texas City, TX • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Galveston | TX | 05/1995 | 11/2020 |
| Bank Of America,Na | Galveston | TX | 12/2009 | 11/2020 |
| Ameriprise Financial Services Inc | Houston | TX | 11/2020 | 11/2020 |
| Ameriprise Financial Services, Llc | Houston | TX | 03/2020 | 03/2020 |
| Ameriprise Financial Services, Llc. | Houston | TX | 11/2020 | Present |
Board of Directors; Texas City ISD; Trustee; 1700 Ninth Ave. N, , Texas City, TX, 77590; Not Investment-Related; 02/17/2023; 1 to 9 hours per month; 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-11-29 |
| S63 | Uniform Securities Agent State Law Examination | 1993-04-02 |
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