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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-02-07 |
| NY | RA | APPROVED | 2024-03-18 |
Branch Locations
401 Franklin Ave Ste 101 & Ste 103, Garden City, NY 11530 • United States
Forest Hills, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Llc | Garden City | NY | 06/2023 | Present |
| Prosparency Llc | New York | NY | 04/2016 | Present |
| Catalpa Capital Advisors Llc | New York | NY | 06/2016 | 05/2023 |
Business Ownership; Prosparency LLC; Co-owner; Software company that validates market data users; 1270 6th ave, floor 7, new york, NY, 10020; Not Investment-Related; 04/01/2016; 10 to 19 hours per month; 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-03-15 |
| S63 | Uniform Securities Agent State Law Examination | 2014-02-18 |
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