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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-08-07 |
| ID | RA | APPROVED | 2022-01-14 |
| MN | RA | APPROVED | 2020-05-22 |
| TX | RA | APPROVED_RES | 2020-05-22 |
Branch Locations
701 Lake St E Ste 290, Wayzata, MN 55391 • United States
Gulf Port, FL • United States
Edina, MN • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley & Co., Incorporated | Bloomington | MN | 04/2007 | 05/2020 |
| Morgan Stanley Smith Barney | Bloomington | MN | 06/2009 | 05/2020 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 05/2020 |
| Ameriprise Financial Services Inc | Edina | MN | 05/2020 | 05/2020 |
| Morgan Stanley Private Bank, N.A | New York | NY | 01/2015 | 05/2020 |
| Ameriprise Financial Services, Llc | Wayzata | MN | 03/2020 | 03/2020 |
| Ameriprise Financial Services, Llc. | Wayzata | MN | 05/2020 | Present |
Real Estate Ownership; Lot/Land; 130th Ave, , Maiden Rock, WI, 54750; Investment-Related; 07/14/2020 / Single Family; 9376 S Park Dr NE, , Carlos, MN, 56319; Investment-Related; 07/01/2021. Other Business Activities; Mortgage Loan to son (Joseph Falldin); Provided loan to purchase his first house; 17025 9th Ave No, , Plymouth, MN, 55447; Not Investment-Related; 06/01/2022; 0 hours per month; 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-05-14 |
| S63 | Uniform Securities Agent State Law Examination | 1983-10-18 |
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