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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2023-09-12 |
| CA | RA | APPROVED | 2018-10-08 |
| TX | RA | APPROVED_RES | 2018-10-08 |
Branch Locations
1819 Main St Ste 1002 10Th Floor, Sarasota, FL 34236 • United States
Sarasota, FL • 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 |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Walnut Creek | CA | 06/2009 | 10/2018 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 10/2018 |
| Ameriprise Financial Services Inc | Walnut Creek | CA | 10/2018 | 03/2020 |
| Ameriprise Financial Services, Llc | Venice | FL | 03/2020 | Present |
Business Ownership; STARDUST ATLANTIC LLC; MEMBER/OWNER; REAL ESTATE/LAND LOTS; 133 & 134 CONTANT/ENIGHED, , ST. JOHN, VI, 08830; Investment-Related; 04/22/2020; 1 to 9 hours per month; 0 during trading hours / hannifin; Owner; Retail; 5022 Sun Circle, , Sarasota, FL, 34234; Not Investment-Related; 03/20/2024; 1 to 9 hours per month; 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-08-26 |
| S63 | Uniform Securities Agent State Law Examination | 1994-12-27 |
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