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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 2017-05-08
MO RA APPROVED 2009-10-05
  • TX RA
    APPROVED_RES
    Since 2017-05-08
  • MO RA
    APPROVED
    Since 2009-10-05

Branch Locations

14755 N Outer 40 Rd Ste 500, Chesterfield, MO 63017 • United States

Valley Park, MO • 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. Chesterfield MO 10/2009 03/2020
Ameriprise Financial Services, Inc. Chesterfield MO 10/2009 03/2020
Ameriprise Financial Services, Llc Chesterfield MO 03/2020 Present
  • 10/2009 → 03/2020
    Ameriprise Financial Services, Inc.
    Chesterfield, MO
  • 10/2009 → 03/2020
    Ameriprise Financial Services, Inc.
    Chesterfield, MO
  • 03/2020 → Present
    Chesterfield, MO
Previous Registrations
  • 2004-09-07 → 2009-10-05
    Ameriprise Advisor Services, Inc.
    Chesterfield, MO
    Clayton, MO
    Clayton, MO
  • 2002-10-17 → 2003-07-10
    Clayton, MO
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-11-14
S63 Uniform Securities Agent State Law Examination 1994-11-29
  • S65 Uniform Investment Adviser Law Examination
    2000-11-14
  • S63 Uniform Securities Agent State Law Examination
    1994-11-29
Other Names
  • Rod Schmitz

View on SEC IAPD

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