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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-10-13 |
| TX | RA | APPROVED | 2023-10-13 |
Branch Locations
5001 California Ave Ste 128, Bakersfield, CA 93309 • United States
Bakersfield, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors | Bakersfield | CA | 04/2013 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Bakersfield | CA | 11/2016 | 10/2023 |
| Ameriprise Financial Services, Llc | Bakersfield | CA | 10/2023 | Present |
Business Ownership; Rick L. Scott, LLC; Owner; Manage Ameriprise Business; 2700 Legend Rose St, , Bakersfield, CA, 93311; Not Investment-Related; 12/15/2023; 1 to 9 hours per month; 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-08-15 |
| S63 | Uniform Securities Agent State Law Examination | 1986-02-12 |
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