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Erik Erle Simmons

Ameriprise Financial Services, LLC

Carlsbad, CA

Carlsbad, CA

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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 2023-12-04
  • CA RA
    APPROVED
    Since 2023-12-04

Branch Locations

2131 Palomar Airport Rd Ste 203, Carlsbad, CA 92011 • United States

Carlsbad, CA • United States

Disclosures

2 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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Arete Wealth Management Llc Chicago IL 08/2015 12/2023
Axxcess Wealth Management Llc Carlsbad CA 08/2015 12/2023
Ameriprise Financial Services Carlsbad CA 12/2023 12/2023
Ameriprise Financial Services, Llc Carlsbad CA 03/2020 03/2020
Ameriprise Financial Services, Llc. Carlsbad CA 12/2023 Present
Previous Registrations
  • 2022-01-05 → 2024-01-03
    Axxcess Wealth Management, Llc
    Carlsbad, CA
  • 2015-09-16 → 2021-12-31
    Axxcess Wealth Management, Llc
    Carlsbad, CA
  • 2014-08-29 → 2015-08-25
    Calton & Associates, Inc.
    Carlsbad, CA
  • 2010-04-06 → 2014-09-04
    U.S. Bancorp Investments, Inc.
    Del Mar, CA
    Oceanside, CA
    Rancho Santa Fe, CA
    San Diego, CA
    Rancho Santa Fe, CA
    Oceanside, CA
    Oceanside, CA
    San Marcos, CA
    San Marcos, CA
    San Marcos, CA
    San Marcos, CA
    Carlsbad, CA
    Carlsbad, CA
    San Diego, CA
    Vista, CA
    Vista, CA
    Solona Beach, CA
    Carlsbad, CA
    Carlsbad, CA
    Murrieta, CA
    Temecula, CA
    Escondido, CA
  • 2009-05-02 → 2010-04-05
    Chase Investment Services Corp.
    Rancho Santa Fe, CA
    Del Mar, CA
    San Marcos, CA
    Vista, CA
    San Marcos, CA
    Vista, CA
  • 2006-02-21 → 2009-05-02
    Wamu Investments, Inc.
    Rancho Santa Fe, CA
    San Marcos, CA
    Del Mar, CA
    Rancho Santa Fe, CA
    Vista, CA
    San Marcos, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1994-04-27
  • S63 Uniform Securities Agent State Law Examination
    1994-04-27

View on SEC IAPD

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INTELLIGENCE DRIVEN ADVISERS, LLC · CARLSBAD, CA
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