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Ethan Spain

Ameriprise Financial Services, LLC

Walnut Creek, CA

CRD 7705634

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Employer firm

Ameriprise Financial Services, LLC CRD 6363

$660B regulatory AUM 124,349 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-05-02
  • CA RA
    APPROVED
    Since 2025-05-02

Branch Locations

1333 N California Blvd Ste 630, Walnut Creek, CA 94596 • 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, Llc Walnut Creek CA 03/2023 11/2024
Ace Hardware Danville CA 09/2017 07/2018
Safeway Alamo CA 01/2021 07/2021
Hazy Barbecue Danville CA 07/2022 02/2023
Monte Vista High School Danville CA 07/2014 05/2018
San Diego State University San Diego CA 08/2018 05/2022
Ameriprise Financial Services, Llc Walnut Creek CA 04/2025 Present
Unemployed Walnut Creek CA 12/2024 03/2025
  • 03/2023 → 11/2024
    Ameriprise Financial Services, Llc
    Walnut Creek, CA
  • 09/2017 → 07/2018
    Ace Hardware
    Danville, CA
  • 01/2021 → 07/2021
    Safeway
    Alamo, CA
  • 07/2022 → 02/2023
    Hazy Barbecue
    Danville, CA
  • 07/2014 → 05/2018
    Monte Vista High School
    Danville, CA
  • 08/2018 → 05/2022
    San Diego State University
    San Diego, CA
  • 04/2025 → Present
    Ameriprise Financial Services, Llc
    Walnut Creek, CA
  • 12/2024 → 03/2025
    Unemployed
    Walnut Creek, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-10-06
  • S66 Uniform Combined State Law Examination
    2023-10-06
Other Names
  • Ethan Robert Spain

View on SEC IAPD

Nearby Firms

USCF ADVISERS
BURTON ENRIGHT WELCH
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

Nearby Investors

CHRISTOPHER STEPHEN HUGHES
Gerwin de Haan
KELLY METZLER RANDALL

Nearby Offices

USCF ADVISERS · WALNUT CREEK, CA
BURTON ENRIGHT WELCH · WALNUT CREEK, CA
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC · WALNUT CREEK, CA

More in Walnut Creek, CA

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