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Gloria Ema Velasquez-Romero

Ameriprise Financial Services, LLC

Austin, TX

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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 2005-05-12
  • TX RA
    APPROVED
    Since 2005-05-12

Branch Locations

115 Wild Basin Rd S Ste 310, Austin, TX 78746 • 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. Austin TX 09/2005 03/2020
Ameriprise Financial Services, Llc Austin TX 03/2020 Present
Other Businesses

Other Business Activities; Sublease rent; Advisor will be leasing the conference room on need basis and the address of registered office.; 115 Wild Basin Rd S., Ste. 310, Austin, TX, 78746; Investment-Related; 06/15/2024; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-04-01
S63 Uniform Securities Agent State Law Examination 1999-08-20
  • S65 Uniform Investment Adviser Law Examination
    2005-04-01
  • S63 Uniform Securities Agent State Law Examination
    1999-08-20
Other Names
  • Gloria Velasquez
  • Gloria Ema Velasquezromero

View on SEC IAPD

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