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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VA | RA | APPROVED | 2021-01-19 |
| TX | RA | APPROVED_RES | 2019-09-04 |
| MD | RA | APPROVED | 2019-09-03 |
Branch Locations
200 Westgate Cir Ste 400, Annapolis, MD 21401 • United States
8045 Leesburg Pike Ste 500, Vienna, VA 22182 • United States
Crownsville, MD • 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 | Annapolis | MD | 04/1986 | 08/2019 |
| Ameriprise Financial Services, Llc | Annapolis | MD | 11/2009 | 08/2019 |
| Ameriprise Financial Service, Llc | Annapolis | MD | 08/2019 | Present |
Real Estate Ownership; Single Family; 723 Graves Ordinary, , Williamsburg, VA, 23185; Not Investment-Related; 05/15/2017. Board of Directors; Anne Arundel Medical Center Foundation; Vice Chair of Foundation Board; 1010 Medical Prkwy, , Annapolis, MD, 21401; Not Investment-Related; 09/04/2019; 1 to 9 hours per month; 1 to 9 during trading hours. Other Business Activities; Finance Committee/ AAMC Foundation; Chair the Finance Committee for the Board to communicate the finances facilitated through financial development via donors to this charitable organization; 2001 Medical Parkway, , Annapolis, MD, 21401; Not Investment-Related; 11/15/2021; 1 to 9 hours per month; 1 to 9 during trading hours / Archdiocese of Baltimore/ Investment Committee; Receive commiunication from the Investment Managemnet team on the Archdiocese Funds and communicate this to the Archdiocese Board; 320 Cathedral Street, , Baltimore, MD, 21201; Investment-Related; 11/22/2021; 1 to 9 hours per month; 1 to 9 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-09-19 |
| S63 | Uniform Securities Agent State Law Examination | 1986-07-23 |
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