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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2025-02-06 |
| TX | RA | APPROVED_RES | 2017-11-03 |
| MN | RA | APPROVED | 2017-11-02 |
Branch Locations
7601 France Ave S Ste 300, Edina, MN 55435-5999 • United States
Lakeville, MN • United States
Punta Gorda, 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 |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Bloomington | MN | 11/2011 | 11/2017 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 11/2017 |
| Ameriprise Financial Services, Inc. | Edina | MN | 11/2017 | 03/2020 |
| Ameriprise Financial Services, Llc | Edina | MN | 03/2020 | Present |
Other Business Activities; Financial Services Group of Prior Lake; Holding company for private placement activity; 25103 Longmeadow Drive, , Punta Gorda, FL, 33955; Not Investment-Related; 11/08/2017; 0 hours per month; 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-11-06 |
| S66 | Uniform Combined State Law Examination | 2003-04-29 |
| S63 | Uniform Securities Agent State Law Examination | 1986-12-10 |
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