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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2000-08-17
  • CT RA
    APPROVED
    Since 2000-08-17

Branch Locations

900 Main St S Ste 100, Southbury, CT 06488 • United States

Southington, CT • 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 No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Southbury CT 09/2005 03/2020
Ameriprise Financial Services, Llc Southbury CT 03/2020 Present
Other Businesses

Board of Directors; CT Storm Board of Directors; Treasurer; 11 Boulder Rdg, , Southington, CT, 06489; Not Investment-Related; 03/15/2025; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-07-27
  • S66 Uniform Combined State Law Examination
    2000-07-27

View on SEC IAPD

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