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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2009-09-15
DE RA APPROVED 2001-12-20
  • TX RA
    APPROVED_RES
    Since 2009-09-15
  • DE RA
    APPROVED
    Since 2001-12-20

Branch Locations

6300 Limestone Rd Ste C, Hockessin, DE 19707 • United States

Newark, DE • 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. Hockessin DE 09/2005 03/2020
Ameriprise Financial Services, Llc Hockessin DE 03/2020 Present
Other Businesses

Business Ownership; Patrick A Sullivan and Ronald F. Scheff LLC; ; This is a shell company that was used as a lessor for the previous property we rented. Currently this conpany has no business activity however it is being retained for potential needs.; 6300 Limestone Rd.Hockessin, De 19707, ,; ; ; 1 to 9 hours per month; / Limestone Partners LLC; Property Management; LLC that owns property; 6300 Limestone Rd, , Hockessin, DE, 19707; Not Investment-Related; 08/01/2009; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-11-30
  • S66 Uniform Combined State Law Examination
    2001-11-30

View on SEC IAPD

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