Benjamin Thomas Shields

Current Employers

Ameriprise Financial Services, Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2024-08-09

TX RA
APPROVED

Since 2024-08-09

Branch Locations

San Antonio, TX • United States

10001 Reunion Pl Ste 422, San Antonio, TX 78216-4127 • 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
Hartford Funds Distributors, Llc	Wayne	PA	12/2012	07/2024
Ameriprise Financial Services Llc	San Antonio	TX	07/2024	Present

12/2012 → 07/2024

Hartford Funds Distributors, Llc

Wayne, PA
07/2024 → Present

Ameriprise Financial Services Llc

San Antonio, TX

Other Businesses

Real Estate Ownership; Single Family; 527 Queen Anne Ct., , San Antonio, TX, 78212; Investment-Related; 09/01/2012 / Single Family; 725 W. 8Th street, , houston, TX, 77007; Investment-Related; 01/01/2016.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2024-08-02
S63	Uniform Securities Agent State Law Examination	2007-04-26

S65 Uniform Investment Adviser Law Examination

2024-08-02
S63 Uniform Securities Agent State Law Examination

2007-04-26