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Saffiate Hales

Ameriprise Financial Services, LLC

Santa Clara, CA

Santa Clara, CA

Richland, WA

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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-08-18
WA RA APPROVED 2023-03-08
  • CA RA
    APPROVED
    Since 2025-08-18
  • WA RA
    APPROVED
    Since 2023-03-08

Branch Locations

3945 Freedom Cir Ste 630, Santa Clara, CA 95054 • United States

3945 Freedom Circle Ste 460, Santa Clara, CA 95054 • United States

Richland, WA • 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
Lord, Abbett & Co. Llc Jersey City NJ 12/2016 02/2020
Unemployed Hempstead NY 08/2016 11/2016
Unemployed Pendleton OR 03/2020 09/2020
D.A. Davidson & Co. Pendleton OR 09/2020 07/2021
Ameriprise Financial Services, Llc Minneapolis MN 10/2022 Present
Thrasio Boston MA 07/2021 05/2022
Unemployed Pendleton OR 06/2022 09/2022
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-03-13
  • S66 Uniform Combined State Law Examination
    2017-03-13
Other Names
  • Saffiate Ba

View on SEC IAPD

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Other Offices

EDELMAN FINANCIAL ENGINES · SANTA CLARA, CA
TAIWANIA CAPITAL MANAGEMENT USA, INC. · SANTA CLARA, CA
AMERIPRISE FINANCIAL SERVICES, LLC · SANTA CLARA, CA
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EDELMAN FINANCIAL ENGINES · SANTA CLARA, CA
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CETERA INVESTMENT ADVISERS LLC · SANTA CLARA, CA
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