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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-11-23 |
| NY | RA | APPROVED | 2021-07-27 |
Branch Locations
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 | Melville | NY | 03/2012 | 03/2021 |
| Wells Fargo Clearing Services, Llc. | Woodbury | NY | 03/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-06-17 |
| S63 | Uniform Securities Agent State Law Examination | 1996-06-11 |
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