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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2024-02-05 |
| TX | RA | APPROVED | 2024-02-05 |
Branch Locations
7335 E Orchard Rd, Greenwood Village, CO 80111-2582 • United States
Englewood, CO • 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 |
|---|---|---|---|---|
| Lpl Financial, Llc | Lafayette | CO | 05/2010 | 02/2024 |
| Ameriprise Financial Services, Llc | Englewood | CO | 02/2024 | Present |
Business Ownership; Ascent Financial Advisors; Owner; Manage Ameriprise Business; 7335 E. Orchard Rd., , Greenwood Village, CO, 80111; Investment-Related; 05/08/2014; 0 hours per month; 0 during trading hours. Outside Employment; Ascent Financial Advisors; Owner; Manage advisory business; 7335 E. Orchard Rd., , Greenwood Village, CO, 80111; Investment-Related; 02/05/2024; 40 to 59 hours per month; 40 to 59 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-05-16 |
| S63 | Uniform Securities Agent State Law Examination | 1996-04-25 |
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