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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-12-18 |
| AL | RA | APPROVED | 2022-02-07 |
Branch Locations
2501 20Th Pl S Ste 400, Birmingham, AL 35223 • United States
Birmingham, AL • 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 |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Birmingham | AL | 05/2000 | 01/2022 |
| Ameriprise Financial Services, Llc | Birmingham | AL | 01/2022 | Present |
Board of Directors; Sloss Furnaces National Historical Landmarkl; Board Member; 20 32nd street north, , Birmingham, AL, 35222; Not Investment-Related; 01/01/2016; 1 to 9 hours per month; 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-11-07 |
| S63 | Uniform Securities Agent State Law Examination | 1979-11-30 |
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