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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2020-12-16 |
| TX | RA | APPROVED_RES | 2012-12-10 |
| OH | RA | APPROVED | 2009-01-26 |
| KY | RA | APPROVED | 2003-10-08 |
Branch Locations
5000 E Mediterranean Dr Ste A, Sierra Vista, AZ 85635-2433 • United States
7887 Washington Village Dr Suite 200, Dayton, OH 45459 • United States
5210 E Williams Cir Ste 130, Tucson, AZ 85711 • United States
Tucson, AZ • United States
2 disclosure categories 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 |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Sierra Vista | AZ | 09/2005 | 03/2020 |
| Ameriprise Financial Services, Llc | Sierra Vista | AZ | 03/2020 | Present |
Real Estate Ownership; Commercial; 408 Blankenbaker Pkwy. Lou, KY 40243, ,; Not Investment-Related; 01/01/2000. Independent Insurance Brokering; Guardian; 04/10/2014; . Business Ownership; Heick Hester Smith Properties, LLC; ; Real Estate - leases to Cardinal Pointe Financial Group, a private wealth advisory practice of Ameriprise Financial Services, Inc.; 408 Blankenbaker Pkwy, Lou, KY for HHSMS & HHP, ,; Not Investment-Related; 01/01/2000; 1 to 9 hours per month; 1 to 9 during trading hours / Heick Hester Smith and Associates, LLC; assist in management of the firm; for the management of the practice; 408 Blankenbaker Parkway, Ste 100 Louisville, KY 40243, ,; Not Investment-Related; 02/05/2015; 40 to 59 hours per month; 40 to 59 during trading hours / Stephen Thomas Hester, Inc.; Practice Management and Administration; Manage Ameriprise Business; 4321 N Painted Quail Dr, Tucson, AZ 85750, ,; Investment-Related; 04/11/2018; 60 hours per month; 60 during trading hours. Board of Directors; The Friends of Western Art; At Large Board Member; 4321 N Painted Quail Dr , , Tucson, AZ, 85750; Not Investment-Related; 07/14/2026; 1 to 9 hours per month; 0 during trading hours. Outside Employment; Stephen Thomas Hester, Inc.; President and Secretary - Practice management and administration; ; 4972 N Ventana Ridge Pl, , Tucson, AZ, 85750; Investment-Related; 04/11/2018; 1 to 9 hours per month; 1 to 9 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1988-02-29 |
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