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Current Employers
Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2017-07-20
TX RA APPROVED 2017-07-20
  • CA RA
    APPROVED
    Since 2017-07-20
  • TX RA
    APPROVED
    Since 2017-07-20

Branch Locations

4655 Executive Dr Ste 300, San Diego, CA 92121-3123 • United States

San Diego, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Metlife Securities Inc. San Diego CA 01/2015 07/2017
Massachusetts Mutual Life Insurance Company Springfield MA 07/2016 07/2017
Mml Investors Services, Llc San Diego CA 03/2017 07/2017
Ameriprise Financial Services Inc San Diego CA 07/2017 03/2020
Ameriprise Financial Services, Llc San Diego CA 03/2020 Present
  • 01/2015 → 07/2017
    Metlife Securities Inc.
    San Diego, CA
  • 07/2016 → 07/2017
    Massachusetts Mutual Life Insurance Company
    Springfield, MA
  • 03/2017 → 07/2017
    San Diego, CA
  • 07/2017 → 03/2020
    Ameriprise Financial Services Inc
    San Diego, CA
  • 03/2020 → Present
    San Diego, CA
Previous Registrations
  • 2017-03-25 → 2017-07-26
    San Diego, CA
    San Diego, CA
  • 2016-05-27 → 2017-03-25
    Msi Financial Services, Inc.
    San Diego, CA
    San Diego, CA
Other Businesses

Independent Insurance Brokering; The Standard of Oregon; 01/01/2012; Disability Income / Standard of Oregon; 11/10/2009; / Unum; 10/03/2016; / Protective; 02/09/2016; / Principal; 03/21/2011; / United of Omaha; 05/26/2016; / Transamerica; 01/28/2010; . Other Business Activities; ABC Liquor License; Husband runs business I am just on liquor license. He sells food and alcohol on a fishing boat.; 1717 Quivara RoadSan Diego, CA 92107, ,; ; 07/08/2015; 0 hours per month; 0 during trading hours / Karrpow Galley LLC; My husband runs a fishing boat and owns the Galley. It is now owned by an LLC. I am not a member of the LLC, but our Family Trust owns the LLC and I am a Trustee of the family Trust; 4692 Maple Ave La Mesa CA 91942, ,; ; 10/18/2017; 0 hours per month; 0 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-05-20
S63 Uniform Securities Agent State Law Examination 2009-11-06
  • S65 Uniform Investment Adviser Law Examination
    2016-05-20
  • S63 Uniform Securities Agent State Law Examination
    2009-11-06
Other Names
  • Stephanie J Lester
  • Stephanie Lester
  • Stephanie Karpow
  • Stephanie Jill Karpow

View on SEC IAPD

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