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JOHN RANDALL SOWARD
CRD#: 4608931
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 3400 CENTRAL AVE
STE 200
RIVERSIDE, CA 92506-2163
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2002 - 2009 (7 years)2 FIRMS2009 - Present (15 years)
Disclosure(s)
View By:
8/15/2017
Regulatory
Final
License(s)

State Registrations

B
Arizona 9/15/2010

B
Missouri 6/23/2021

B
Arkansas 12/17/2024

B
Nevada 9/15/2010

B
California 12/21/2009

B
New Mexico 1/18/2023

IA
California 12/22/2009

B
New York 2/8/2017

B
Colorado 12/21/2009

B
North Carolina 1/23/2023

B
Connecticut 5/29/2024

B
Oregon 5/31/2017

B
Florida 1/10/2013

B
South Carolina 12/15/2021

B
Georgia 8/13/2013

B
Tennessee 2/8/2021

B
Hawaii 1/26/2013

B
Texas 2/23/2011

B
Idaho 3/17/2021

IA
Texas 2/23/2011

B
Illinois 12/21/2009

B
Utah 11/25/2014

B
Maine 10/24/2017

B
Virginia 1/15/2013

B
Massachusetts 4/22/2024

B
Washington 9/15/2010

B
Michigan 2/8/2021

B
Wisconsin 8/13/2014

B
Minnesota 2/3/2012

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
3400 CENTRAL AVE STE 200, RIVERSIDE, CA 92506-2163
Chino, CA
Registered with this firm since 12/22/2009

B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
3400 CENTRAL AVE STE 200, RIVERSIDE, CA 92506-2163
Chino, CA
Registered with this firm since 12/21/2009

Previous Registration(s)
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IA
12/19/2002 - 12/23/2009 WADDELL & REED, INC. (CRD#:866) WOODLAND HILLS, CA
B
12/13/2002 - 12/23/2009 WADDELL & REED, INC. (CRD#:866) WOODLAND HILLS, CA
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.