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34 Fountain Square Plaza Md 1090Xb, Cincinnati, OH 45263 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-07-09 |
Branch Locations
901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-08-21 |
Branch Locations
1237 Soquel Ave, Santa Cruz, CA 95062 • United States
Santa Cruz, CA • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Comerica Securities | Boston | MA | 04/1996 | 08/2023 |
| Ameriprise Financial Services, Llc | Santa Cruz | CA | 08/2023 | Present |
| Fifth Third Securities | Santa Cruz | CA | 07/2026 | Present |
Outside Employment; Comerica financial advisors; I work at Comerica Financial Advisors and am an employee at Comerica; Manage advisory business; 1237 Soquel Ave, , Santa Cruz, CA, 95062; Investment-Related; 11/06/2023; 40 to 59 hours per month; 20 to 39 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-11-09 |
| S63 | Uniform Securities Agent State Law Examination | 1987-09-04 |
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