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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 2006-10-05
NC RA APPROVED 2004-06-21
  • TX RA
    APPROVED_RES
    Since 2006-10-05
  • NC RA
    APPROVED
    Since 2004-06-21

Branch Locations

3125 Springbank Ln Ste H, Charlotte, NC 28226 • United States

Greenville, NC • 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. Greenville NC 09/2005 03/2020
Ameriprise Financial Services, Llc Charlotte NC 03/2020 Present
Other Businesses

Real Estate Ownership; Other; 1922-201 Tara CtGreenville, NC 27858, , ** not provided **, N/A, 00000; 06/01/2004. Business Ownership; Other; Consulting; 2256 Franklin Drive Winterville, NC 28590, , ** not provided **, N/A, 00000; Not Investment-Related; 12/15/2017; 1 to 9 hours per month; 1 to 9 during trading hours / Other; Other; 2256 Franklin DrWinterville, NC 28590, , ** not provided **, N/A, 00000; Not Investment-Related; 01/01/2010; 0 hours per month; 0 during trading hours / Other; Other; 2256 Franklin DriveWinterville, NC 28590, , ** not provided **, N/A, 00000; Not Investment-Related; 12/15/2017; 1 to 9 hours per month; 0 during trading hours / Other; Consulting; 1922-201 Tara Ct, , Greenville, NC, 27858; Investment-Related; 09/29/2022; 20 to 39 hours per month; 10 to 19 during trading hours. Board of Directors; Randall; Jonathan; Board Member; 47 Fairmont AveBoston, MA 02136, , ** not provided **, N/A, 00000; 11/01/2017; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-06-02
S63 Uniform Securities Agent State Law Examination 2000-03-02
  • S65 Uniform Investment Adviser Law Examination
    2004-06-02
  • S63 Uniform Securities Agent State Law Examination
    2000-03-02

View on SEC IAPD

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