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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-01-22 |
| CA | RA | APPROVED | 2024-01-19 |
Branch Locations
1 Lower Ragsdale Dr Bldg 1 Ste 100, Monterey, CA 93940 • United States
Seaside, 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 |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Carmel | CA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Carmel | CA | 11/2016 | 08/2017 |
| Morgan Stanley | Monterey | CA | 08/2017 | 01/2024 |
| Morgan Stanley Private Bank, National Association | New York | NY | 10/2017 | 01/2024 |
| Ameriprise Financial Services | Monterey | CA | 01/2024 | 01/2024 |
| Ameriprise Financial Services, Llc | Monterey | CA | 03/2020 | 03/2020 |
| Ameriprise Financial Services, Llc. | Monterey | CA | 01/2024 | Present |
Board of Directors; Meals on Wheels of Monterey; Treasurer; 700 Jewel Ave, , Pacific Grove, CA, 93950; Not Investment-Related; 07/01/2021; 1 to 9 hours per month; 1 to 9 during trading hours / Hospice Giving Foundation Board of Directors; Member; 80 Garden Ct. Suite 201, , Monterey, CA, 93940; Not Investment-Related; 07/20/2024; 1 to 9 hours per month; 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1994-01-03 |
| S65 | Uniform Investment Adviser Law Examination | 1994-01-03 |
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