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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 2018-08-07
  • NY RA
    APPROVED
    Since 2021-04-16
  • TX RA
    APPROVED_RES
    Since 2018-08-07

Branch Locations

1001 Franklin Ave Ste 302, Garden City, NY 11530 • United States

Point Lookout, NY • United States

Disclosures

2 disclosure categories 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Mitchel Field NY 09/2005 03/2020
Ameriprise Financial Services, Llc Garden City NY 03/2020 Present
Other Businesses

Real Estate Ownership; Single Family; 145 Hewlett Ave, , Point Lookout, NY, 11569; Not Investment-Related; 10/15/2020. Business Ownership; 113 Inwood LLC; Member of two person LLC designed to own/manage investment property; Rental real estate ownership/management; Inwood Ave, , Point Lookout, NY, 11569; Investment-Related; 11/18/2019; 0 hours per month; 0 during trading hours. Board of Directors; Point Lookout Civic Association; Board Member/CEO - Park Project Coordinator/Check signer; PO Box 391, , Point Lookout, NY, 11569; Not Investment-Related; 09/28/2015; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-04-05
  • S66 Uniform Combined State Law Examination
    2001-04-05
Designations
Other Names
  • Brian Emery

View on SEC IAPD

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