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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-16
TX RA APPROVED_RES 2020-01-08
NJ RA APPROVED 2012-08-03
  • NY RA
    APPROVED
    Since 2021-04-16
  • TX RA
    APPROVED_RES
    Since 2020-01-08
  • NJ RA
    APPROVED
    Since 2012-08-03

Branch Locations

56 Clifton Country Rd Ste 102, Clifton Park, NY 12065 • United States

Hadley, NY • 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 Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Albany NY 08/2012 03/2020
Ameriprise Financial Services, Llc Clifton Park NY 03/2020 Present
Previous Registrations
  • 2010-03-09 → 2012-08-03
    Etico Wealth Management Llc
    Saratoga Springs, NY
  • 2009-02-18 → 2009-04-01
    Mcginn, Smith Advisors Llc
    Albany, NY
  • 2002-06-28 → 2006-11-08
    Albany, NY
    Albany, NY
Other Businesses

Business Ownership; Nicolosi Group LLC; ; Real Estate ownership - Rental condo/villas; 1038 South Shore RdHadley, NY 12835, ,; Not Investment-Related; 10/01/2017; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-01-04
  • S66 Uniform Combined State Law Examination
    2001-01-04
Other Names
  • Carl Nicolosi
  • Carmelo T Nicolasi

View on SEC IAPD

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