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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2024-12-13 |
| WI | RA | APPROVED | 2020-08-21 |
Branch Locations
8215 Greenway Blvd Ste 200, Middleton, WI 53562 • United States
Verona, WI • 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 |
|---|---|---|---|---|
| Ubs Financial Services Inc | Madison | WI | 07/2013 | 08/2020 |
| Ameriprise Financial Services Inc | Middleton | WI | 08/2020 | 08/2020 |
| Ameriprise Financial Services, Llc | Middleton | WI | 03/2020 | 03/2020 |
| Ameriprise Financial Services, Llc. | Middleton | WI | 08/2020 | Present |
Business Ownership; Arena Capital Management; Co-owner; Investment holdings - marketable securities... No outside investments; 9246 WINDY PT, , VERONA, WI, 53593; Investment-Related; 01/30/2015; 1 to 9 hours per month; 1 to 9 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-02-07 |
| S63 | Uniform Securities Agent State Law Examination | 1989-07-28 |
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