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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-04-16 |
| FL | RA | APPROVED | 2013-11-07 |
| TX | RA | APPROVED_RES | 2006-10-06 |
Branch Locations
1174 Veterans Memorial Hwy, Hauppauge, NY 11788 • United States
Glen Cove, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Melville | NY | 09/2005 | 03/2020 |
| Ameriprise Financial Services, Llc | Hauppauge | NY | 03/2020 | Present |
Outside Employment; Certainity of Uncertainty, LLC; Contractor of the legal entity; Outside employment; 1174 Veterans Memorial highway, , hauppauge, NY, 11788; Investment-Related; 01/01/2022; 60 hours per month; 60 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-07-24 |
| S63 | Uniform Securities Agent State Law Examination | 1999-10-11 |
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