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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2018-09-11
  • TX RA
    APPROVED
    Since 2018-09-11

Branch Locations

Carlsbad, CA • United States

10001 Reunion Pl Ste 422, San Antonio, TX 78216 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Llc San Diego CA 04/2007 08/2018
Investment Professionals, Inc. San Antonio TX 08/2018 09/2018
Ameriprise Financial Services, Inc. San Antonio TX 09/2018 03/2020
Ameriprise Financial Services, Llc San Antonio TX 03/2020 Present
  • 04/2007 → 08/2018
    San Diego, CA
  • 08/2018 → 09/2018
    Investment Professionals, Inc.
    San Antonio, TX
  • 09/2018 → 03/2020
    Ameriprise Financial Services, Inc.
    San Antonio, TX
  • 03/2020 → Present
    San Antonio, TX
Previous Registrations
  • 2018-08-14 → 2018-09-11
    Investment Professionals, Inc.
    Mckinney, TX
    San Antonio, TX
  • 2009-12-14 → 2018-08-29
    San Diego, CA
    Mckinney, TX
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-12-11
S63 Uniform Securities Agent State Law Examination 2008-03-17
  • S65 Uniform Investment Adviser Law Examination
    2009-12-11
  • S63 Uniform Securities Agent State Law Examination
    2008-03-17

View on SEC IAPD

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