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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2024-08-10 |
Branch Locations
2727 Allen Pkwy., Ste. 1500, Houston, TX 77019-2127 • United States
2615 Calder Ave Ste 150, Beaumont, TX 77702-1957 • United States
Beaumont, 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 |
|---|---|---|---|---|
| Ubs Financial Services Inc | Beaumont | TX | 01/2012 | 08/2024 |
| Ameriprise Financial Services, Llc | Beaumont | TX | 08/2024 | Present |
Business Ownership; MP3 Operations LLC; Owner; Personal acct. used for business and personal expense; 1220 Nottingham Lane, , Beaumont, TX, 77706; Not Investment-Related; 08/02/2024; 1 to 9 hours per month; 0 during trading hours / Q5 Operations LLC; Co-owner; Manage Ameriprise Business; 2615 Calder Ave, , Beaumont, TX, 77702; Investment-Related; 08/02/2024; 1 to 9 hours per month; 0 during trading hours / CALVARYLOT2, LLC; Co-owner; Real Estate; 3450 Dowlen Rd., Suite 2, Beaumont, TX, 77702; Not Investment-Related; 12/06/2024; 1 to 9 hours per month; 0 during trading hours. Outside Employment; Q5 Wealth Management; Owner; Manage advisory business; 2675 Calder St., Suite 150, Beaumont, TX, 77702; Investment-Related; 08/08/2024; 60 hours per month; 60 during trading hours / MP3 Operations LLC; Owner; Manage advisory business; 1220 Nothingham Lane, , Beaumont, TX, 77706; Investment-Related; 08/02/2024; 1 to 9 hours per month; 1 to 9 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-03-03 |
| S63 | Uniform Securities Agent State Law Examination | 1980-07-01 |
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