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Advisor at AMERIPRISE FINANCIAL SERVICES, LLC
SAN MATEO, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| AMERIPRISE FINANCIAL SERVICES, LLC | National bd RIA | Aug 20, 2024 | n/a | yes | SAN MATEO, CA | Current employment |
| THE BLAKELEY GROUP INC | Former SEC adviser | Jan 24, 2024 | Aug 20, 2024 | no | SANTA CLARA, CA | Previous registration |
| MORGAN STANLEY | Wirehouse | Dec 6, 2022 | Nov 8, 2023 | no | Menlo Park, CA | Previous registration |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Nov 16, 2021 | Nov 29, 2022 | no | PALO ALTO, CA|SAN FRANCISCO, CA | Previous registration |
| MERCER GLOBAL ADVISORS INC. | Independent wealth | Jul 13, 2020 | Dec 31, 2020 | no | SAN MATEO, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| THE BLAKELEY GROUP INC | AMERIPRISE FINANCIAL SERVICES, LLC | Aug 20, 2024 | Aug 20, 2024 | 0 | Firm change | Other |
| MORGAN STANLEY | THE BLAKELEY GROUP INC | Nov 8, 2023 | Jan 24, 2024 | 77 | Firm change | Other |
| UBS FINANCIAL SERVICES INC. | MORGAN STANLEY | Nov 29, 2022 | Dec 6, 2022 | 7 | Firm change | Wirehouse to wirehouse |
| MERCER GLOBAL ADVISORS INC. | UBS FINANCIAL SERVICES INC. | Dec 31, 2020 | Nov 16, 2021 | 320 | Firm change | RIA to wirehouse |