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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MS | RA | APPROVED | 2024-02-21 |
| FL | RA | APPROVED | 2018-08-27 |
| TX | RA | APPROVED_RES | 2018-08-26 |
Branch Locations
15 Caswell Ln Ste 1, Plymouth, MA 02360 • United States
41 Taunton Grn Ste 101, Taunton, MA 02780 • United States
Ft Lauderdale, FL • United States
2 disclosure categories 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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wachovia Securities, Llc | Norwell | MA | 04/2004 | 08/2018 |
| Prospera Financial Services | Dallas | TX | 09/2006 | 08/2018 |
| Ameriprise Financial Services Inc | Fort Lauderdale | MA | 08/2018 | 03/2020 |
| Ameriprise Financial Services, Llc | Plymouth | MA | 03/2020 | Present |
Real Estate Ownership; Commercial; 15 Caswell Ln , , Plymouth, MA, 02360; Not Investment-Related; 08/01/2018. Business Ownership; Plymouth Rock Financial Partners LLC; Co-owner; This is our Ameriprise franchise LLC; 15 caswell lane suite 1, suite 1, plymouth, MA, 02360; Investment-Related; 01/01/2007; 40 to 59 hours per month; 40 to 59 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-11-05 |
| S63 | Uniform Securities Agent State Law Examination | 1989-10-04 |
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