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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2021-01-07 |
Branch Locations
7317 Merchant Ct Ste B, Lakewood Ranch, FL 34240 • United States
Nokomis, FL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Janney Montgomery Scott Llc | Philadelphia | PA | 11/2012 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Sarasota | FL | 11/2016 | 01/2021 |
| Ameriprise Financial Services, Llc | Lakewood Ranch | FL | 01/2021 | Present |
Business Ownership; Reagan Espie Inc; Owner; Manage Ameriprise Business; 15221 Shady Palms Lane, , Nokomis, FL, 34275; Investment-Related; 07/16/2021; 60 hours per month; 60 during trading hours. Outside Employment; Reagan Espie Inc; Owner; Manage advisory business; 15221 Shady Palm Lane, , Nokomis, FL, 34275; Investment-Related; 07/01/2021; 10 to 19 hours per month; 1 to 9 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-08-18 |
| S63 | Uniform Securities Agent State Law Examination | 1995-03-14 |
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