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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-11-16
CA RA APPROVED 2015-11-16
  • TX RA
    APPROVED_RES
    Since 2022-11-16
  • CA RA
    APPROVED
    Since 2015-11-16

Branch Locations

225 W Santa Clara St Ste 1600, San Jose, CA 95113-1723 • United States

Austin, TX • United States

Disclosures

2 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Campbell CA 11/2015 03/2020
Ameriprise Financial Services, Llc San Jose CA 03/2020 Present
Previous Registrations
  • 1998-04-07 → 2015-12-01
    San Jose, CA
    San Jose, CA
    San Jose, CA
    Buckeye, AZ
Other Businesses

Real Estate Ownership; Single Family; 136 Rother Place, , Taylor , TX, 76564; Investment-Related; 11/01/2025.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-09-09
S63 Uniform Securities Agent State Law Examination 1996-02-28
  • S65 Uniform Investment Adviser Law Examination
    1997-09-09
  • S63 Uniform Securities Agent State Law Examination
    1996-02-28

View on SEC IAPD

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