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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 2024-01-03
CA RA APPROVED 2023-12-05
  • TX RA
    APPROVED_RES
    Since 2024-01-03
  • CA RA
    APPROVED
    Since 2023-12-05

Branch Locations

3623 Crossings Dr Ste 125, Prescott, AZ 86305 • United States

Prescott Valley, AZ • 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
Massmutual Life Insurance Company Roseville CA 06/2013 12/2023
Mml Investors Services Llc Roseville CA 09/2013 12/2023
Ameriprise Financial Services, Llc Roseville CA 12/2023 Present
Previous Registrations
Other Businesses

Independent Insurance Brokering; MassMutual; 12/29/2023; Term Life, Long Term Care, Whole Life, Disability Income.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-08-08
S63 Uniform Securities Agent State Law Examination 2013-12-19
  • S65 Uniform Investment Adviser Law Examination
    2015-08-08
  • S63 Uniform Securities Agent State Law Examination
    2013-12-19

View on SEC IAPD

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