Thomas Frank Humphrey

Current Employers

Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

Authority	Category	Status	Date
MN	RA	APPROVED	2013-11-20
TX	RA	APPROVED_RES	2006-10-03

MN RA
APPROVED

Since 2013-11-20
TX RA
APPROVED_RES

Since 2006-10-03

Branch Locations

Omaha, NE • United States

19021 Freeport St Ste 300, Elk River, MN 55330 • United States

450 5Th St Sw Ste 100, Milaca, MN 56353-1350 • United States

Elk River, MN • 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

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Elk River	MN	09/2005	03/2020
Ameriprise Financial Services, Llc	Elk River	MN	03/2020	Present

09/2005 → 03/2020

Ameriprise Financial Services, Inc.

Elk River, MN
03/2020 → Present

Ameriprise Financial Services, Llc

Elk River, MN

Other Businesses

Business Ownership; ER Green Operational Services, LLC; Manage adminstrative and financial issues for this LLC; Consulting; 19021 Freeport Street, Suite 300, , Elk River, MN, 55330; Investment-Related; 11/16/2020; 1 to 9 hours per month; 1 to 9 during trading hours. Outside Employment; ER Green Operational Services, LLC; COO - Manage all hand-on operational aspects of the company.; ; 19021 Freeport Street, Suite 300, , Elk River, MN, 55330; Not Investment-Related; 01/01/2021; 10 to 19 hours per month; 1 to 9 during trading hours.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1989-03-23

S63 Uniform Securities Agent State Law Examination

1989-03-23

Designations

Other Names

Tom Humphrey

View on SEC IAPD