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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-02-03 |
| TX | RA | APPROVED_RES | 2025-01-31 |
Branch Locations
701 Palomar Airport Road Suite 300, Carlsbad, CA 92011-1028 • 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 |
|---|---|---|---|---|
| Stifel Nicolaus & Co Inc | Carlsbad | CA | 08/2011 | 01/2025 |
| Ameriprise Financial Services, Llc | Carlsbad | CA | 01/2025 | Present |
Business Ownership; HENNESSY HEDGE HOLDINGS LLC; Owner; Manage Ameriprise Business; 2235 Oceanview Road, , Oceanside, CA, 92056; Investment-Related; 11/14/2025; 0 hours per month; 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-08-24 |
| S63 | Uniform Securities Agent State Law Examination | 1995-05-02 |
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