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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-12-06 |
| NY | RA | APPROVED | 2021-04-16 |
| NJ | RA | APPROVED | 2020-04-15 |
Branch Locations
25 Main St Ste 3-2, Goshen, NY 10924-2144 • United States
85 Civic Center Plaza Ste 100, Poughkeepsie, NY 12601 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Axa Advisors, Llc | New York | NY | 10/2009 | 03/2020 |
| Ameriprise Financial Services, Inc | Poughkeepsie | NY | 03/2020 | 03/2020 |
| Ameriprise Financial Services, Llc | Poughkeepsie | NY | 03/2020 | Present |
Business Ownership; Arbor Capital Wealth Advisors; Co-owner; Manage Ameriprise Business; 85 Civic Center Plaza, Suite 100, Poughkeepsie, NY, 12601; Investment-Related; 01/01/2026; 1 to 9 hours per month; 1 to 9 during trading hours. Outside Employment; Arbor Capital Wealth Advisors; Co-owner; Manage advisory business; 85 Civic Center Plaza, Suite 100, Poughkeepsie, NY, 12601; Investment-Related; 01/01/2026; 1 to 9 hours per month; 1 to 9 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-12-22 |
| S63 | Uniform Securities Agent State Law Examination | 2010-02-13 |
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