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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 2013-01-03
AL RA APPROVED 2002-04-25
  • TX RA
    APPROVED_RES
    Since 2013-01-03
  • AL RA
    APPROVED
    Since 2002-04-25

Branch Locations

31 Inverness Center Pkwy Ste 550, Birmingham, AL 35242 • United States

Vestavia, AL • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Birmingham AL 09/2005 03/2020
Ameriprise Financial Services, Llc Birmingham AL 03/2020 Present
Other Businesses

Real Estate Ownership; Single Family; 1016 Brookridge Lane SE, , Cullman, AL, 35055; Not Investment-Related; 07/02/2021 / Single Family; 360 co rd 378, , crane hill, AL, 35053; Not Investment-Related; 06/14/2021. Board of Directors; Leadership Vestavia Hills; Board member; P. O. Box 660591, , birmingham, AL, 35266; Not Investment-Related; 08/01/2021; 1 to 9 hours per month; 1 to 9 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-04-24
  • S66 Uniform Combined State Law Examination
    2002-04-24
Designations
Other Names
  • Vaughn Sparks

View on SEC IAPD

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