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Current Employers
Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2006-10-05
CA RA APPROVED 1997-12-15
  • TX RA
    APPROVED_RES
    Since 2006-10-05
  • CA RA
    APPROVED
    Since 1997-12-15

Branch Locations

801 S Ham Ln Ste H, Lodi, CA 95242-7502 • United States

Lodi, CA • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Modesto CA 07/1986 03/2020
Ameriprise Financial Services, Llc Lodi CA 03/2020 Present
Other Businesses

Real Estate Ownership; Commercial; 801 S Ham Lane, STE H, , Lodi, CA, 95242; Not Investment-Related; 01/01/2016. Board of Directors; Lodi Tokay Rotary Club; Community Service; 2024 w vine, , Lodi, CA, 95242; Not Investment-Related; 02/04/2024; 1 to 9 hours per month; 1 to 9 during trading hours.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2002-07-02
  • S63 Uniform Securities Agent State Law Examination
    2002-07-02

View on SEC IAPD

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