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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2020-03-16 |
| TX | RA | APPROVED_RES | 2020-03-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Minneapolis | MN | 10/2009 | 03/2020 |
| Ameriprise Financial Services, Inc. | San Diego | CA | 10/2009 | 03/2020 |
| Wells Fargo Clearing Service, Llc | San Diego | CA | 03/2020 | Present |
DKM ENTERPRISES, LLC, INVT RELATED, PASO ROBLES, CA, 68% OWNERSHIP, START DATE 1/7/2014, 1 HR PER MONTH, 0 HRS DURING TRADING, OWNER. RENTAL PROPERTY; INV. RELATED; CARLSBAD,CA; 100% OWNERSHIP; START DATE 06/01/2010; NUMBER OF HOURS PER MONTH 0; NUMBER OF HOURS DURING TRADING 0; OWNER. RENTAL PROPERTY; INV. RELATED; HERBER CITY,CO; 100% OWNERSHIP; START DATE 08/31/2021; NUMBER OF HOURS PER MONTH 0; NUMBER OF HOURS DURING TRADING 0; OWNER.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-08-20 |
| S63 | Uniform Securities Agent State Law Examination | 1999-08-24 |
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