Larry John Swanson

Current Employers

Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2009-06-11
TX	RA	APPROVED_RES	2009-06-08

CA RA
APPROVED

Since 2009-06-11
TX RA
APPROVED_RES

Since 2009-06-08

Branch Locations

2087 Grand Canal Blvd Ste 2, 3 & 4, Stockton, CA 95207 • United States

Stockton, CA • United States

Disclosures

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.

Regulatory action No
Criminal No
Bankruptcy Yes
Civil judicial No
Bond No
Judgment / lien Yes
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Stockton	CA	06/2009	03/2020
Ameriprise Financial Services, Llc	Stockton	CA	03/2020	Present

06/2009 → 03/2020

Ameriprise Financial Services, Inc.

Stockton, CA
03/2020 → Present

Ameriprise Financial Services, Llc

Stockton, CA

Previous Registrations

2002-02-08 → 2009-05-13

Ubs Financial Services Inc.

Stockton, CA

Stockton, CA

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1983-08-01

S63 Uniform Securities Agent State Law Examination

1983-08-01

View on SEC IAPD

Current Employers

Ameriprise Financial Services, Llc

Disclosures

Employment History

Previous Registrations

Exams

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