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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-01-26 |
| HI | RA | APPROVED | 2018-10-05 |
Branch Locations
500 Ala Moana Blvd Suite 7-525 Mailbox 129, Honolulu, HI 96813 • United States
Kailua, HI • 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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Honolulu | HI | 06/2010 | 10/2018 |
| Bank Of America, N.A. | Honolulu | HI | 10/2010 | 10/2018 |
| Ameriprise Financial Services, Inc. | Honolulu | HI | 10/2018 | 03/2020 |
| Ameriprise Financial Services, Llc | Honolulu | HI | 03/2020 | Present |
Independent Insurance Brokering; Prudential; 03/10/2021; Long Term Care. Business Ownership; Kupa'a Operational Support LLC; Owner; Manage Ameriprise Business; 500 Ala Moana Blvd, Suite 7-525, , Honolulu, HI, 96813; Investment-Related; 01/01/2022; 1 to 9 hours per month; 1 to 9 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-02-04 |
| S63 | Uniform Securities Agent State Law Examination | 1994-12-03 |
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