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Carol Ann Davies

Ameriprise Financial Services, LLC

Georgetown, TX

Cedar Park, TX

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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 2021-08-12
  • TX RA
    APPROVED
    Since 2021-08-12

Branch Locations

200 E 8Th St Ste 202, Georgetown, TX 78626 • United States

Cedar Park, TX • 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
Bbva Securities Inc. Austin TX 05/2013 07/2021
Ameriprise Financial Services, Llc Austin TX 07/2021 Present
Bbva Wealth Solutions Inc. Austin TX 07/2017 07/2021
  • 05/2013 → 07/2021
    Bbva Securities Inc.
    Austin, TX
  • 07/2021 → Present
    Ameriprise Financial Services, Llc
    Austin, TX
  • 07/2017 → 07/2021
    Bbva Wealth Solutions Inc.
    Austin, TX
Previous Registrations
  • 2017-08-11 → 2021-07-14
    Pnc Managed Account Solutions, Inc.
    Austin, TX
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-10-24
S63 Uniform Securities Agent State Law Examination 2004-12-16
  • S65 Uniform Investment Adviser Law Examination
    2006-10-24
  • S63 Uniform Securities Agent State Law Examination
    2004-12-16
Other Names
  • Carol Ann Davies
  • Carol Ann Smyer

View on SEC IAPD

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Other Offices

STATE FARM INVESTMENT MANAGEMENT CORP. · Georgetown, TX
EDWARD JONES · GEORGETOWN, TX
SAGE WEALTH PLANNING · GEORGETOWN, TX
EDWARD JONES · GEORGETOWN, TX
REAP FINANCIAL GROUP, LLC · Georgetown, TX
CETERA INVESTMENT ADVISERS LLC · Georgetown, TX
MODERN FINANCIAL PLANNING · GEORGETOWN, TX
SAVVY · Georgetown, TX

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