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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2012-12-03
TX RA APPROVED 2012-11-30
  • FL RA
    APPROVED
    Since 2012-12-03
  • TX RA
    APPROVED
    Since 2012-11-30

Branch Locations

4030 W Boy Scout Blvd Ste 300, Tampa, FL 33607-5713 • United States

Valrico, FL • 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
Ameriprise Financial Services, Inc. Tampa FL 11/2012 03/2020
Ameriprise Financial Services, Llc Tampa FL 03/2020 Present
Previous Registrations
  • 2009-06-01 → 2012-12-11
    Tampa, FL
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Tampa, FL
  • 2003-10-10 → 2007-04-02
    Morgan Stanley Dw Inc.
    Tampa, FL
    Tampa, FL
Other Businesses

Business Ownership; RSJZ Philly LLC; Owner; Investment holding company that was created for purposes of estate planning for my own family and future.; 5302 Laurel Pointe Dr, , Valrico, FL, 33596; Investment-Related; 03/30/2020; 0 hours per month; 0 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-10-06
S63 Uniform Securities Agent State Law Examination 1988-07-28
  • S65 Uniform Investment Adviser Law Examination
    2003-10-06
  • S63 Uniform Securities Agent State Law Examination
    1988-07-28

View on SEC IAPD

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