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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OR | RA | APPROVED | 2023-11-03 |
Branch Locations
19785 Village Office Court Suite 101, Bend, OR 97702 • 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 |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Bend | OR | 04/2011 | 08/2021 |
| Fsc | Bend | OR | 08/2021 | 11/2023 |
| Osaic Wealth, Inc. | Bend | OR | 11/2023 | Present |
Business Ownership; Carroll Enterprises LLC; Owner; To manage expenses of financial advisory practice; Bend, OR 97703; Not Investment Related; Mar 2011; 1-9 hours per month; 1-9 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-07-10 |
| S63 | Uniform Securities Agent State Law Examination | 1995-03-16 |
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