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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 2017-02-20
TX RA APPROVED 2017-02-17
  • FL RA
    APPROVED
    Since 2017-02-20
  • TX RA
    APPROVED
    Since 2017-02-17

Branch Locations

5200 Town Center Cir Ste 600, Boca Raton, FL 33486-1045 • United States

Boca Raton, FL • 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
Raymond James & Associates Boca Raton FL 09/2006 02/2017
Ameriprise Financial Services, Inc. Boca Raton FL 02/2017 03/2020
Ameriprise Financial Services, Llc Boca Raton FL 03/2020 Present
  • 09/2006 → 02/2017
    Raymond James & Associates
    Boca Raton, FL
  • 02/2017 → 03/2020
    Ameriprise Financial Services, Inc.
    Boca Raton, FL
  • 03/2020 → Present
    Boca Raton, FL
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-05-11
S63 Uniform Securities Agent State Law Examination 1992-07-10
  • S65 Uniform Investment Adviser Law Examination
    2005-05-11
  • S63 Uniform Securities Agent State Law Examination
    1992-07-10

View on SEC IAPD

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