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Catherine T Small

Ameriprise Financial Services, LLC

Clearwater, FL

Marco Island, FL

Trinity, FL

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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2009-10-05
  • FL RA
    APPROVED
    Since 2009-10-05

Branch Locations

28100 Us Hwy 19 N Ste 400, Clearwater, FL 33761 • United States

914 Park Ave Ste B, Marco Island, FL 34145 • United States

Trinity, FL • 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
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Oldsmar FL 10/2009 03/2020
Ameriprise Financial Services, Inc. Clearwater FL 10/2009 03/2020
Ameriprise Financial Services, Llc Clearwater FL 03/2020 Present
  • 10/2009 → 03/2020
    Ameriprise Financial Services, Inc.
    Oldsmar, FL
  • 10/2009 → 03/2020
    Ameriprise Financial Services, Inc.
    Clearwater, FL
  • 03/2020 → Present
    Ameriprise Financial Services, Llc
    Clearwater, FL
Previous Registrations
  • 2008-03-28 → 2009-10-05
    Ameriprise Advisor Services, Inc.
    Clearwater, FL
    Oldsmar, FL
  • 2005-07-12 → 2008-03-06
    Robert W. Baird & Co. Incorporated
    Palm Harbor, FL
    Palm Harbor, FL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-07-09
  • S66 Uniform Combined State Law Examination
    2005-07-09
Other Names
  • Catherine Teresa Cerniglia

View on SEC IAPD

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RAYMOND JAMES & ASSOCIATES, INC.

Other Investors

HEIDE REBECCA DELUCA
ESTHER LYNN ROPP
PAUL SELF
MICHAEL JAMES BURROWS
ERIK N GOLUB
RAY ALLEN LONG
TODD DANIEL BASLER
JOAN ELISE KREBEL

Other Offices

PFS INVESTMENTS INC. · CLEARWATER, FL
PFS INVESTMENTS INC. · CLEARWATER, FL
PFS INVESTMENTS INC. · CLEARWATER , FL
USA FINANCIAL SECURITIES LLC · Clearwater, FL
BEDINGHAUS FINANCIAL GROUP, INC · CLEARWATER, FL
AMERIPRISE FINANCIAL SERVICES, LLC · Clearwater, FL
EDWARD JONES · CLEARWATER, FL
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · CLEARWATER, FL

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