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Detailed Report
David Amarante Chavez
CRD#: 5568917
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 611 Anton Blvd Ste 200
Costa Mesa, CA 92626
Registration History
20082010201220142016201820202022202420264 FIRMS2023 - 2023 (<1 year)2 FIRMS2023 - Present (1 year)BUNIONBANC INVESTMENT SERVICES, LLC (CRD# 14455)2008 - 2023 (14 years)IAUNIONBANC INVESTMENT SERVICES, LLC (CRD# 14455)2009 - 2023 (13 years)
License(s)

State Registrations

B
California 11/3/2023
IA
California 11/3/2023

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
611 Anton Blvd Ste 200, Costa Mesa, CA 92626
Garden Grove, CA
Registered with this firm since 11/3/2023
B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
611 Anton Blvd Ste 200, Costa Mesa, CA 92626
Garden Grove, CA
Registered with this firm since 11/3/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/13/2023 - 11/03/2023 COMERICA SECURITIES (CRD#:17079) COSTA MESA, CA
B
 09/13/2023 - 11/03/2023 COMERICA SECURITIES (CRD#:17079) COSTA MESA, CA
IA
 06/02/2023 - 08/23/2023 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) Irvine, CA
B
 05/26/2023 - 08/23/2023 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) SAINT PAUL, MN
IA
 07/02/2009 - 05/31/2023 UNIONBANC INVESTMENT SERVICES, LLC (CRD#:14455) IRVINE, CA
B
 07/22/2008 - 05/26/2023 UNIONBANC INVESTMENT SERVICES, LLC (CRD#:14455) IRVINE, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.