Alyse G Duffy

Current Employers

Ameriprise Financial Services, Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2020-08-18
FL	RA	APPROVED	2013-07-02

TX RA
APPROVED_RES

Since 2020-08-18
FL RA
APPROVED

Since 2013-07-02

Branch Locations

4030 W Boy Scout Blvd Ste 300, Tampa, FL 33607-5713 • United States

Tampa, FL • 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 No
Termination Yes

Employment History

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Tampa	FL	02/2012	03/2020
Ameriprise Financial Services, Llc	Tampa	FL	03/2020	Present

02/2012 → 03/2020

Ameriprise Financial Services, Inc.

Tampa, FL
03/2020 → Present

Ameriprise Financial Services, Llc

Tampa, FL

Other Businesses

Board of Directors; American Legion Cemetery Corporation; President; 3818 W Kennedy Blvd, , Tampa, FL, 33609; Investment-Related; 01/18/2021; 20 to 39 hours per month; 1 to 9 during trading hours / American Legion Auxiliary USS Tampa Unit 5; First Vice President; 3810 W Kennedy Blvd, , Tampa, FL, 33609; Not Investment-Related; 09/02/2016; 10 to 19 hours per month; 0 during trading hours.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2013-01-10

S66 Uniform Combined State Law Examination

2013-01-10

Other Names

Alyse Bergen

View on SEC IAPD