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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| GA | RA | APPROVED | 2019-10-30 |
| TX | RA | APPROVED_RES | 2019-10-28 |
Branch Locations
329 Oak St Ste 202, Gainesville, GA 30501 • United States
Jasper, GA • 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 |
|---|---|---|---|---|
| The Strategic Financial Alliance, Inc. | Atlanta | GA | 06/2010 | 10/2019 |
| Private Client Advisory, Inc. | Gainesville | GA | 05/2002 | 10/2019 |
| Ameriprise Financial Services, Inc. | Gainesville | GA | 10/2019 | 03/2020 |
| Ameriprise Financial Services, Llc | Gainesville | GA | 03/2020 | Present |
Business Ownership; NancyE III, LLC; managing member,a single person LLC.; services, rentals.; Circle of Light Drive, , Gainesville, GA, 30506; Not Investment-Related; 12/28/2015; 1 to 9 hours per month; 0 during trading hours / Yachtsman Capital Resourses; single owner.; a pass through corp to manage tax reporting on expenses.Also, hold a real estate parcel. Used as a personal estate planning tool, also.; 6051 circle of light drive, , gainesville, GA, 00000; Not Investment-Related; 12/20/2007; 1 to 9 hours per month; 0 during trading hours / NancyE IV, LLC; Owner; NancyE IV, LLC Georgia corp. (Very similar to existing LLC; NancyE III. charter rental of my sailboat through a professional charter and vessel management company. primary goal is for personal recreation with expenses of owning and maintaining boat covered by a professional services company from charter operations.; 12093 Big Canoe, , Big Canoe , GA, 30143; Not Investment-Related; 07/12/2023; 1 to 9 hours per month; 0 during trading hours / NancyE V, LLC; Owner; Yacht charter through outside yacht management company. This is a new LLC (NancyE V, LLC) to replace existing same business disclosed, (NancyE IV, LLC). The new LLC formed 07/15/2026. The expected business activities of chartering will begin April 2027. The yacht in the existing LLC is being sold through a yacht sales brokerage company beginning August 2026. When sale is closed, the LLC will be dissolved. A new boat is currently ordered with expected closing first quarter 2027.; Hodges Creek Marina, East End Maya Cove, Parham Town, Tortola, , VGB; Not Investment-Related; 04/01/2027; 1 to 9 hours per month; 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-05-04 |
| S63 | Uniform Securities Agent State Law Examination | 1982-08-03 |
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