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Current Employers
Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2001-01-23
MD RA APPROVED 2000-08-23
  • VA RA
    APPROVED
    Since 2001-01-23
  • MD RA
    APPROVED
    Since 2000-08-23

Branch Locations

4800 Montgomery Ln Ste 620, Bethesda, MD 20814 • United States

Bethesda, MD • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Bethesda MD 09/2005 03/2020
Ameriprise Financial Services, Llc Bethesda MD 03/2020 Present
Other Businesses

Business Ownership; Fudokan, LLC; Owner; I have a martial art class called Kendo which is Japanese fencing. I do not intend to have any personal income from it and doing it as a service to my community. The membership fees will be used to pay the rent and club's other expenses.; 5100 Edgemoor Lane, , Bethesda, MD, 20814; Not Investment-Related; 01/05/2016; 20 to 39 hours per month; 0 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-11-17
S63 Uniform Securities Agent State Law Examination 1996-09-24
  • S65 Uniform Investment Adviser Law Examination
    1997-11-17
  • S63 Uniform Securities Agent State Law Examination
    1996-09-24
Other Names
  • Rod F Faghani

View on SEC IAPD

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