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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 2006-10-03
CA RA APPROVED 1997-12-15
  • TX RA
    APPROVED_RES
    Since 2006-10-03
  • CA RA
    APPROVED
    Since 1997-12-15

Branch Locations

11835 W Olympic Blvd Ste 735 East, Los Angeles, CA 90064 • United States

Los Angeles, 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. Los Angeles CA 09/2005 03/2020
Ameriprise Financial Services, Llc Los Angeles CA 03/2020 Present
Other Businesses

Real Estate Ownership; Single Family; 7447 Royal St #153Park CIty, Utah 84060, ,; ; / Lot/Land; 835 Canary Way, #131, Boulder City, NV, 89005; Not Investment-Related; 12/08/2023. Board of Directors; Jones Kanaar Foundation; Board member; 1400 Via Cataluna, , Palos Verdes Estates, CA, 90274; Investment-Related; 01/01/2024; 0 hours per month; 0 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-05-07
S63 Uniform Securities Agent State Law Examination 1996-03-04
  • S65 Uniform Investment Adviser Law Examination
    1996-05-07
  • S63 Uniform Securities Agent State Law Examination
    1996-03-04

View on SEC IAPD

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