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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2012-03-08
  • NJ RA
    APPROVED
    Since 2012-03-08

Branch Locations

65 S Main St A-202, Pennington, NJ 08534-2843 • United States

Pennington, NJ • 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. Princeton NJ 03/2012 03/2020
Ameriprise Financial Services, Llc Princeton NJ 03/2020 Present
Previous Registrations
Other Businesses

Independent Insurance Brokering; Guardian Life; 04/01/2012; . Business Ownership; Compass Adviors Group, LLC; Owner; LLC originally used for outside insurance activities, and marketing activities. no longer being used.; 101 College Rd EastSecond Floor Princeton NJ 08540, ,; Not Investment-Related; 05/01/2002; 60 hours per month; 0 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-04-30
  • S66 Uniform Combined State Law Examination
    2001-04-30

View on SEC IAPD

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