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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2018-10-15 |
| TX | RA | APPROVED | 2017-07-20 |
Branch Locations
16220 N Scottsdale Rd Ste 250, Scottsdale, AZ 85254 • United States
4655 Executive Dr Ste 300, San Diego, CA 92121-3123 • United States
Scottsdale, AZ • 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 |
|---|---|---|---|---|
| Metlife Securities Inc. | Scottsdale | AZ | 01/2015 | 07/2017 |
| Massachusetts Mutual Life Insurance Company | Springfield | MA | 07/2016 | 07/2017 |
| Mml Investors Services, Llc | Scottsdale | AZ | 03/2017 | 07/2017 |
| Ameriprise Financial Services Inc | Scottsdale | AZ | 07/2017 | 03/2020 |
| Ameriprise Financial Services, Llc | Scottsdale | AZ | 03/2020 | Present |
Independent Insurance Brokering; UNUM; 07/01/1998; / STAND OF OREGON; 01/01/1988; / BLUE CROSS BLUE SHIELD; 01/01/1980; / LLOYD'S OF LONDON; 01/01/2010; / NEW ENGLAND; 07/01/1998; / BANNER; 06/01/2012; / NY LIFE; 01/01/2015; . Business Ownership; PFC Lester, Inc.; Owner; INSURANCE FIXED BUSINESS; 8722 E VIA DE COMMERCIO, ,; Not Investment-Related; 08/01/1998; 0 hours per month; 0 during trading hours. Fiduciary Activities; Trustee. Outside Employment; PFC Lester INC; PRES - Owner; FIXED INSURANCE BUSINESS RESIDUALS; 8722 VIA DE COMMERCIO, ,; Not Investment-Related; 08/01/1998; 1 to 9 hours per month; 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-18 |
| S63 | Uniform Securities Agent State Law Examination | 1980-09-23 |
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