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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-04-12 |
Branch Locations
363 N Sam Houston Pkwy E Ste 1480, Houston, TX 77060 • United States
Springs, TX • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Llc | Houston | TX | 10/2021 | Present |
| Self-Employed | Austin | TX | 09/2015 | 05/2017 |
| Ameriprise Financial | Houston | TX | 05/2017 | 08/2017 |
| Self-Employed | Spring | TX | 08/2017 | 10/2021 |
Business Ownership; Daniels Enterprises; Teaching guitar lessons to students; Music instruction; 31525 Timber Grove Ln, , Spring, TX, 77386; Not Investment-Related; 09/01/2015; 1 to 9 hours per month; 0 during trading hours. Outside Employment; THE S PENNI FAMILY TR U/A DTD 1-1-90; Contractor - Updating quicken files for trust, and preparing quarterly updates and annual reports for trust.; ; 31525 Timber Grove Ln, , Spring, TX, 77386; Not Investment-Related; 08/01/2017; 1 to 9 hours per month; 0 during trading hours / THE DANIEL E PENNI REV TR U/A DTD 3-9-89; Contractor - Updating quicken files for the trust, and preparing quarterly updates and annual reports.; ; 31525 Timber Grove Ln, , Spring, TX, 77386; Not Investment-Related; 08/01/2017; 1 to 9 hours per month; 0 during trading hours / Casey Bowen Music; Lead Guitarist - Playing guitar; Music performance group; 22526 Rustic Valley Ct, , Porter, TX, 77365; Not Investment-Related; 05/01/2017; 1 to 9 hours per month; 0 during trading hours. Other Business Activities; Duren Duval aka Tommy Heizer; Playing and recording music together under the stage name of Duren Duval. We previously have been playing music since 2014 under the name of Tommy Heizer, https://soundcloud.com/thomasdanielsaustin, but now officially recording and playing under Duren Duval.; 31525 Timber Grove Ln, , Spring, TX, 77386; Not Investment-Related; 09/01/2014; 1 to 9 hours per month; 0 during trading hours / TDZL; Playing and recording music under stage name of TDZL; 31525 Timber Grove Ln, , Spring, TX, 77386; Not Investment-Related; 11/01/2024; 1 to 9 hours per month; 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-03-15 |
| S63 | Uniform Securities Agent State Law Examination | 2010-07-09 |
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