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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 2008-03-20
CA RA APPROVED 1997-12-15
  • TX RA
    APPROVED_RES
    Since 2008-03-20
  • CA RA
    APPROVED
    Since 1997-12-15

Branch Locations

1333 N California Blvd Ste 630, Walnut Creek, CA 94596 • United States

Walnut Creek, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Walnut Creek CA 09/2005 03/2020
Ameriprise Financial Services, Llc Walnut Creek CA 03/2020 Present
Other Businesses

Business Ownership; MESA LLC; See 3.3.17 below; Expense sharing arrangement; 1333 N California Blvd, Ste 630, , Walnut Creek, CA, 94596; Not Investment-Related; 06/01/2011; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-12-18
  • S66 Uniform Combined State Law Examination
    2004-12-18
Designations

View on SEC IAPD

Other Firms

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