Carlton Matthias Francis

Current Employers

Ameriprise Financial Services, Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2008-02-15
FL	RA	APPROVED	2002-01-31

TX RA
APPROVED_RES

Since 2008-02-15
FL RA
APPROVED

Since 2002-01-31

Branch Locations

111 N Pine Island Rd Ste 201-B, Plantation, FL 33324-1836 • United States

Plantation, FL • 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

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Plantation	FL	09/2005	03/2020
Ameriprise Financial Services, Llc	Plantation	FL	03/2020	Present

09/2005 → 03/2020

Ameriprise Financial Services, Inc.

Plantation, FL
03/2020 → Present

Ameriprise Financial Services, Llc

Plantation, FL

Other Businesses

Real Estate Ownership; Lot/Land; 1909 Moore Avenue, , Lehigh Acres, FL, 33972; Not Investment-Related; 06/14/2022. Business Ownership; EQrious Homes, LLC; Business owner/manager; Buying, selling and renting real estate.; 151 N Nob Hill Rd Ste 486, , Plantation, FL, 33324; Not Investment-Related; 08/15/2022; 10 to 19 hours per month; 0 during trading hours / Carlton M Francis, LLC; Manager; legal entity established to manage my practice; 151 N Nob Hill Road, Suite 486 , , Plantation, FL, 33324; Not Investment-Related; 02/04/2014; 20 to 39 hours per month; 60 during trading hours.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-12-06

S66 Uniform Combined State Law Examination

2005-12-06