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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2020-02-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Longview | TX | 01/2017 | 11/2017 |
| East Texas Baptist University | Marshall | TX | 09/2013 | 05/2017 |
| Texas Bank And Trust | Longview | TX | 12/2017 | 07/2018 |
| Ameriprise Financial | Longview | TX | 08/2018 | 03/2020 |
| Ameriprise Financial Services, Llc | Longview | TX | 03/2020 | Present |
Business Ownership; SWP Operations LLC; Co-owner; Manage Ameriprise Business; 911 W Loop 281 Suite 113, , Longview, TX, 75604; Investment-Related; 10/09/2024; 60 hours per month; 60 during trading hours. Board of Directors; Fred Hale School of Business Advisory Board; Fred Hale School of Business Advisor; One Tiger Drive, , Marshall, TX, 75670; Not Investment-Related; 11/01/2025; 1 to 9 hours per month; 1 to 9 during trading hours. Outside Employment; SWP Operations LLC; Co-owner; Manage advisory business; 911 W Loop 281 Suite 113, , Longview, TX, 75604; Investment-Related; 10/09/2024; 60 hours per month; 60 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-02-03 |
| S63 | Uniform Securities Agent State Law Examination | 2019-12-06 |
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