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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 1996-08-29
  • WA RA
    APPROVED
    Since 1996-08-29

Branch Locations

6 S 2Nd St Ste 402, Yakima, WA 98901 • United States

Yakima, WA • 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. Spokane WA 07/1996 03/2020
Ameriprise Financial Services, Llc Yakima WA 03/2020 Present
Other Businesses

Real Estate Ownership; Single Family; 1222 S 12 Ave, Yakima, WA 98902, ,; ; . Business Ownership; Alpha House LLC; landlord; Clean and Sober/Transitional Housing; 1222 S 12 Ave, , Yakima, WA, 98902; Not Investment-Related; 12/01/2014; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1996-08-02
S65 Uniform Investment Adviser Law Examination 1996-08-02
  • S63 Uniform Securities Agent State Law Examination
    1996-08-02
  • S65 Uniform Investment Adviser Law Examination
    1996-08-02

View on SEC IAPD

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