Warren Wayne Locke

Current Employers

Ameriprise Financial Services, Llc

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2014-07-25

CA RA
APPROVED

Since 2014-07-25

Branch Locations

Chico, CA • United States

250 Vallombrosa Ave Suite 370, Chico, CA 95926-3976 • United States

Disclosures

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.

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

Employment History

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Chico	CA	07/2014	03/2020
Ameriprise Financial Services, Llc	Chico	CA	03/2020	Present

07/2014 → 03/2020

Ameriprise Financial Services, Inc.

Chico, CA
03/2020 → Present

Ameriprise Financial Services, Llc

Chico, CA

Previous Registrations

2013-07-01 → 2014-07-25

Mutual Advisors, Llc

Chico, CA
2008-04-30 → 2013-07-09

Mutual Securities, Inc.

Chico, CA

Other Businesses

Outside Employment; Blue Oaks Management, LLC; Advisor with Blue Oaks Management, LLC an Ameriprise Financial Franchise; Manage advisory business; 250 Vallombrosa Ave, Suite 370, Chico, CA, 95926; Investment-Related; 05/14/2025; 60 hours per month; 60 during trading hours.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2008-04-29
S63	Uniform Securities Agent State Law Examination	1984-05-31

S65 Uniform Investment Adviser Law Examination

2008-04-29
S63 Uniform Securities Agent State Law Examination

1984-05-31

View on SEC IAPD