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Richard Charles Bologna

Ameriprise Financial Services, LLC

San Jose, CA

San Ramon, CA

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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 2019-01-31
CA RA APPROVED 2017-12-15
  • TX RA
    APPROVED_RES
    Since 2019-01-31
  • CA RA
    APPROVED
    Since 2017-12-15

Branch Locations

225 W Santa Clara St Ste 1600, San Jose, CA 95113-1723 • United States

San Ramon, 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
Foresters Financial San Jose CA 10/2009 12/2017
Foresters Advisory Services Llc San Jose CA 01/2015 12/2017
Ameriprise Financial Services Inc Bascom CA 12/2017 03/2020
Ameriprise Financial Services, Llc San Jose CA 03/2020 Present
  • 10/2009 → 12/2017
    Foresters Financial
    San Jose, CA
  • 01/2015 → 12/2017
    Foresters Advisory Services Llc
    San Jose, CA
  • 12/2017 → 03/2020
    Ameriprise Financial Services Inc
    Bascom, CA
  • 03/2020 → Present
    Ameriprise Financial Services, Llc
    San Jose, CA
Previous Registrations
  • 2015-01-13 → 2017-12-18
    Foresters Advisory Services, Llc
    San Jose, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-12-31
S63 Uniform Securities Agent State Law Examination 2009-12-22
  • S65 Uniform Investment Adviser Law Examination
    2014-12-31
  • S63 Uniform Securities Agent State Law Examination
    2009-12-22
Other Names
  • Richard Bologna

View on SEC IAPD

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