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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2023-01-19 |
| KY | RA | APPROVED | 2023-01-16 |
Branch Locations
1174 Veterans Memorial Hwy, Hauppauge, NY 11788 • United States
Richmond, KY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Baldwin Cpa'S Pllc | Richmond | KY | 04/1990 | 08/2022 |
| Cetera Financial Specialists Llc | Schaumburg | IL | 03/2011 | 08/2021 |
| Ameriprise Financial Services, Llc | Richmond | KY | 09/2022 | Present |
Business Ownership; T Account Properties, LLC; Tenant mgt; Rental real estate; 713 West Main Street, , Richmond, KY, 40475; Not Investment-Related; 03/07/2005; 1 to 9 hours per month; 0 during trading hours / Baldwin CPAs, PLLC; Client relationships; Tax Preparation; 713 West Main Street, , Richmond, KY, 40475; Not Investment-Related; 07/27/2004; 60 hours per month; 60 during trading hours. Board of Directors; Madison Airport Board, Inc.; Member; 124 Madison Airport Road, , Berea, KY, 40403; Not Investment-Related; 11/07/2017; 1 to 9 hours per month; 1 to 9 during trading hours. Outside Employment; Baldwin CPAs, PLLC; Member - Management of CPA firm clients and employees; ; 713 W Main St, , Richmond, KY, 40475-1351; Not Investment-Related; 07/27/2004; 60 hours per month; 60 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-01-13 |
| S63 | Uniform Securities Agent State Law Examination | 1999-09-09 |
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