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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2014-02-18 |
| CA | RA | APPROVED | 1997-12-15 |
Branch Locations
1333 N California Blvd Ste 630, Walnut Creek, CA 94596 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Walnut Creek | CA | 09/2005 | 03/2020 |
| Ameriprise Financial Services, Llc | Walnut Creek | CA | 03/2020 | Present |
Business Ownership; Members Expense Sharing Arrangement-MESA,LLC; ; Administrative role to pay business expenses for FA practices only; 1333 N Calif Blvd Suite 630Walnut Creek, CA 94596, ,; ; 06/01/2011; 1 to 9 hours per month; / GVB Alliance, LLC; ; Ameriprise practice operational expense, ie. Payroll and operating Expenses.; 1333 N. California Blvd. Suite 630Walnut Creek, CA 94596, ,; Not Investment-Related; 10/21/2016; 10 to 19 hours per month; 1 to 9 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-08-31 |
| S63 | Uniform Securities Agent State Law Examination | 1994-07-20 |
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