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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2021-10-18 |
Branch Locations
5200 Town Center Cir Ste 600, Boca Raton, FL 33486-1045 • United States
Pompano Beach, FL • 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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Boca Raton | FL | 12/2008 | 10/2021 |
| Bank Of America, N.A. | Boca Raton | FL | 12/2009 | 10/2021 |
| Ameriprise Financial Services, Llc | Boca Raton | FL | 10/2021 | Present |
Board of Directors; Ligonier Ministries, Inc; Member, Board of Directors; 421 Ligonier Court, , Sanford, FL, 32771; Not Investment-Related; 11/02/2021; 10 to 19 hours per month; 1 to 9 during trading hours. Other Business Activities; American Fine Wine Competition; Evaluates 800 elite US wines in blind judging by professional wine judges; once each year; 144 Greens Rd, , Hollywood, FL, 33021; Not Investment-Related; 11/02/2021; 1 to 9 hours per month; 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1992-07-21 |
| S65 | Uniform Investment Adviser Law Examination | 1992-07-20 |
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