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Dawn Marie Williams

Ameriprise Financial Services, LLC

Bellevue, WA

Issaquah, WA

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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 2009-10-05
WA RA APPROVED 2009-10-05
  • TX RA
    APPROVED_RES
    Since 2009-10-05
  • WA RA
    APPROVED
    Since 2009-10-05

Branch Locations

929 108Th Ave Ne Ste 1200, Bellevue, WA 98004 • United States

Issaquah, WA • 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. Bellevue WA 10/2009 03/2020
Ameriprise Financial Services, Inc. Bellevue WA 10/2009 03/2020
Ameriprise Financial Services, Llc Bellevue WA 03/2020 Present
  • 10/2009 → 03/2020
    Ameriprise Financial Services, Inc.
    Bellevue, WA
  • 10/2009 → 03/2020
    Ameriprise Financial Services, Inc.
    Bellevue, WA
  • 03/2020 → Present
    Ameriprise Financial Services, Llc
    Bellevue, WA
Previous Registrations
  • 2009-04-21 → 2009-10-05
    Ameriprise Advisor Services, Inc.
    Bellevue, WA
  • 1992-03-03 → 2009-05-08
    Citigroup Global Markets Inc.
    Seattle, WA
    Seattle, WA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-07-11
S63 Uniform Securities Agent State Law Examination 1988-11-23
  • S65 Uniform Investment Adviser Law Examination
    1992-07-11
  • S63 Uniform Securities Agent State Law Examination
    1988-11-23
Other Names
  • Dawn Marie Williams
  • Dawn Marie Roetemeyer
  • Dawn Marie Spiering
  • Dawn M Williams

View on SEC IAPD

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STEWARD CAPITAL LLC. · BELLEVUE, WA
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LPL FINANCIAL LLC · BELLEVUE, WA
LIDO · BELLEVUE, WA
FOCUS PARTNERS WEALTH, LLC · Bellevue, WA

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