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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2020-10-23 |
| TX | RA | APPROVED_RES | 2020-10-23 |
Branch Locations
225 W Santa Clara St Ste 1600, San Jose, CA 95113-1723 • United States
El Dorado Hills, CA • 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 |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Silicon Valley | CA | 01/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Silicon Valley | CA | 11/2016 | 10/2020 |
| Ameriprise Financial Services Inc | San Jose | CA | 10/2020 | 10/2020 |
| Ameriprise Financial Services, Llc | San Jose | CA | 03/2020 | 03/2020 |
| Ameriprise Financial Services, Llc. | San Jose | CA | 10/2020 | Present |
Board of Directors; American Diabetes Association Nor Cal; Member; 1970 Broadway, , Oakland, CA, 94612; Not Investment-Related; 11/04/2020; 10 to 19 hours per month; 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1991-12-31 |
| S63 | Uniform Securities Agent State Law Examination | 1979-11-05 |
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