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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-02-24
MO RA APPROVED 2022-02-23
  • TX RA
    APPROVED_RES
    Since 2022-02-24
  • MO RA
    APPROVED
    Since 2022-02-23

Branch Locations

9300 Troost Ave, Kansas City, MO 64131-3008 • United States

Kansas City, MO • United States

Disclosures

1 disclosure category 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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Cuna Brokerage Services, Inc. Waverly IA 01/1991 02/2022
Mazuma Credit Union Kansas City MO 01/2006 Present
Ameriprise Financial Services, Llc Kansas City MO 02/2022 Present
  • 01/1991 → 02/2022
    Cuna Brokerage Services, Inc.
    Waverly, IA
  • 01/2006 → Present
    Mazuma Credit Union
    Kansas City, MO
  • 02/2022 → Present
    Kansas City, MO
Previous Registrations
  • 2001-07-27 → 2022-02-24
    Cuna Brokerage Services, Inc.
    Gladstone, MO
    Kansas City, MO
    Kansas City, MO
Other Businesses

Board of Directors; Missouri Valley Masters Swimming; recordkeeper and top ten submissions; 1751 Mound St Suite 204, , Sarasota, FL, 34236; Not Investment-Related; 02/22/2022; 1 to 9 hours per month; 0 during trading hours. Outside Employment; Mazuma Credit union; Financial advisor - I am a dual employee of Mazuma and Ameriprise, performing the financial advisor role; ; 7260 W 135th St, , Overland Park, KS, 66223; Investment-Related; 01/01/2006; 20 to 39 hours per month; 20 to 39 during trading hours / US Masters Swimming; enter meet results to the national database as they are provided; I will be cleaning up the data from swimming meets and submitting it to the national results database for some of the US Masters Swimming sub-organizations. Pay will be minimal--$25 per occurrence--but enough to incent local organizations to train their own people. Less than a few hundred dollars per year is expected; 8405 Cherry, , Kansas City, MO, 64131; Not Investment-Related; 09/01/2026; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-07-05
S63 Uniform Securities Agent State Law Examination 1988-08-17
  • S66 Uniform Combined State Law Examination
    2001-07-05
  • S63 Uniform Securities Agent State Law Examination
    1988-08-17
Other Names
  • Bill Sherman

View on SEC IAPD

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