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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-05-18 |
| WA | RA | APPROVED | 2022-05-18 |
Branch Locations
301 E 13Th St, Deer Park, TX 77536-3258 • United States
Spring, TX • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Dws Investments Distributors, Inc | Chicago | IL | 05/2014 | 03/2018 |
| Edward Jones | Saint Louis | MO | 06/2018 | 10/2018 |
| Heritage Bank | Mukilteo | WA | 10/2018 | 05/2022 |
| Cetera Investment Services Llc | St Cloud | MN | 10/2018 | 05/2022 |
| Cetera Investment Advisers Llc | Mukilteo | WA | 10/2018 | 05/2022 |
| Ameriprise Financial Services, Llc | Deer Park | TX | 05/2022 | Present |
Business Ownership; French Courtyard; Co-owner; Retail; 27326 Robinson Rd Suite 101, , Oak Ridge North, TX, 77385; Not Investment-Related; 07/31/2026; 1 to 9 hours per month; 0 during trading hours. Outside Employment; Shell Wealth Services; Financial Advisor - Financial advisory practice with Ameriprise Financial Services, LLC; ; 301 E 13th Street, , Deer Park, TX, 77536; Investment-Related; 05/18/2022; 40 to 59 hours per month; 40 to 59 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-06-16 |
| S65 | Uniform Investment Adviser Law Examination | 2008-01-02 |
| S63 | Uniform Securities Agent State Law Examination | 1998-09-17 |
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