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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-02-28 |
| FL | RA | APPROVED | 2024-09-03 |
| NJ | RA | APPROVED | 2023-02-08 |
| NY | RA | APPROVED | 2021-06-06 |
Branch Locations
530 5Th Ave 10Th Floor, New York, NY 10036 • United States
Rye Brook, NY • United States
Boca Raton, 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 | New York | NY | 11/2010 | 05/2019 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 05/2019 |
| Ameriprise Financial Services, Inc | New York | NY | 05/2019 | 03/2020 |
| Ameriprise Financial Services, Llc | New York | NY | 03/2020 | Present |
Board of Directors; Clear Path Task Force; Member, Clear Path Task Force; 1223 Salt Springs Rd, , Chittenango, NY, 13037; Not Investment-Related; 03/03/2026; 1 to 9 hours per month; 0 during trading hours. Other Business Activities; HOA Board Seat; Member of 3 Person HOA board for the development I live in.; 4 Rose Lane, , Rye Brook, NY, 10573; Not Investment-Related; 09/15/2022; 1 to 9 hours per month; 0 during trading hours / Authoring a Non-Fiction Book; Inder the currently approved OBA "The Rising Tide Foundation" I will be working with a book writing company that has worked with several other Ameriprise employees assisting in writing a non-fiction book. The book with focus on the challenges people face when they realize they ARE wealthy?and aren't quite sure what to do next to find meaning.; 4 Rose Ln, , Rye Brook, NY, 10573; Not Investment-Related; 07/31/2025; 1 to 9 hours per month; 0 during trading hours / Rising Tide Foundation; Create a self funded private foundation to align charitable interests with annual donations The status of the foundation is currently a Donor Advised Fund (DAF) with Charitable Gift Trust. It is funded and the distributions will only be made by me.; 4 Rose Lane, , Rye Brook, NY, 10573; Not Investment-Related; 05/03/2023; 1 to 9 hours per month; 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-11-28 |
| S63 | Uniform Securities Agent State Law Examination | 1996-03-29 |
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