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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-10-29
CA RA APPROVED 2021-05-05
  • TX RA
    APPROVED_RES
    Since 2024-10-29
  • CA RA
    APPROVED
    Since 2021-05-05

Branch Locations

205 E El Segundo Blvd, El Segundo, CA 90245 • United States

2801 E Spring St Ste 255, Long Beach, CA 90806 • United States

Westminster, 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
Ameriprise Financial Services, Inc. Los Angeles CA 09/2009 03/2020
Ameriprise Financial Services, Llc El Segundo CA 03/2020 Present
Other Businesses

Real Estate Ownership; Single Family; 16782 Wanda Circle, , Huntington Beac, CA, 92687; Not Investment-Related; 07/17/2015.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-01-29
S63 Uniform Securities Agent State Law Examination 2020-09-03
  • S66 Uniform Combined State Law Examination
    2021-01-29
  • S63 Uniform Securities Agent State Law Examination
    2020-09-03
Other Names
  • Anh Nguyet Thi Phan
  • Angie Vo

View on SEC IAPD

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