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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TN | RA | APPROVED | 2023-06-08 |
| CA | RA | APPROVED | 2023-06-05 |
| TX | RA | APPROVED_RES | 2023-06-02 |
Branch Locations
1 Lower Ragsdale Dr Bldg 1 Ste 100, Monterey, CA 93940 • United States
College Grove, TN • United States
2 disclosure categories 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 |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | San Francisco | CA | 03/2008 | 06/2023 |
| City National Bank | Monterey | CA | 08/2020 | 06/2023 |
| Ameriprise Financial Services, Llc | San Jose | CA | 06/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-08-20 |
| S63 | Uniform Securities Agent State Law Examination | 1982-05-25 |
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