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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2021-08-18 |
Branch Locations
14274 N Northsight Blvd Suite 100, Scottsdale, AZ 85260 • 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 |
|---|---|---|---|---|
| Voya Financial Advisors, Inc. | Studio City | CA | 08/2015 | 09/2017 |
| Ameriprise Financial Services Inc | Reseda | CA | 09/2019 | 03/2020 |
| Serenitas Special Needs Planning | Los Angeles | CA | 09/2017 | Present |
| Ameriprise Financial Services, Llc | Scottsdale | AZ | 03/2020 | Present |
Business Ownership; Serenitas Special Needs Planning; Owner; Consulting; 19529 Hamlin Street, , Reseda, CA, 91335; Not Investment-Related; 10/01/2017; 60 hours per month; 60 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-08-17 |
| S65 | Uniform Investment Adviser Law Examination | 2014-05-19 |
| S63 | Uniform Securities Agent State Law Examination | 2014-02-13 |
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