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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2008-02-28 |
| IL | RA | APPROVED | 1997-12-04 |
Branch Locations
6870 Rote Rd Ste 102, Rockford, IL 61107-2690 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Rockford | IL | 09/2005 | 03/2020 |
| Ameriprise Financial Services, Llc | Rockford | IL | 03/2020 | Present |
Business Ownership; SWAG Pro, LLC; Member; Pass-through entity for business expenses; 6870 Rote Rd., Suite 102, , Rockford, IL, 61107; Not Investment-Related; 06/23/2022; 1 to 9 hours per month; 1 to 9 during trading hours. Board of Directors; Rockford Art Museum; Board Member; 711 N. Main StreetRockford, IL 61103, ,; ; 02/24/2014; 1 to 9 hours per month; 0 during trading hours. Outside Employment; SWAG Pro, LLC; Member - Pass-through entity for business expenses; ; 6870 Rote Rd., Ste 102, , Rockford, IL, 61107; Not Investment-Related; 07/13/2022; 1 to 9 hours per month; 1 to 9 during trading hours. Other Business Activities; David Boccignone - Artist; I paint and will hopefully be selling my artwork; 2543 Highcrest Rd., , Rockford, IL, 61107; Not Investment-Related; 06/01/2017; 10 to 19 hours per month; 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-01-30 |
| S63 | Uniform Securities Agent State Law Examination | 1988-04-27 |
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