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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-06-13 |
| CA | RA | APPROVED | 2022-06-10 |
Branch Locations
3027 Townsgate Rd Ste 200, Westlake Village, CA 91361-5863 • United States
3 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 |
|---|---|---|---|---|
| Stifel Nicolaus & Co Inc | Oxnard | CA | 05/2009 | 06/2022 |
| Ameriprise Financial Services, Llc | Westlake Village | CA | 06/2022 | Present |
Board of Directors; Sacred Heart Catholic Church; board member; 10800 Henderson Road, Ventura, CA, 93004; Investment-Related; 10/07/2020; 1 to 9 hours per month; 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-05-19 |
| S63 | Uniform Securities Agent State Law Examination | 1982-05-25 |
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