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Mark Jeffrey Dimm

Ameriprise Financial Services, LLC

Minneapolis, MN

North Augusta, SC

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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2017-03-17
  • SC RA
    APPROVED
    Since 2017-03-17

Branch Locations

901 3Rd Ave S, Minneapolis, MN 55402-3367 • United States

North Augusta, SC • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Charlotte NC 03/2011 03/2017
Ameriprise Financial Services Inc Minneapolis MN 03/2017 03/2020
Ameriprise Financial Services, Llc Minneapolis MN 03/2020 Present
Previous Registrations
  • 2011-05-02 → 2017-03-07
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Fort Mill, SC
    New York, NY
    Charlotte, NC
  • 2009-06-15 → 2009-12-10
    Evergreen Investment Management Co
    Boston, MA
  • 2003-01-01 → 2004-10-04
    Bacap Distributors, Llc
    Charlotte, NC
  • 2002-06-04 → 2003-01-01
    Stephens
    Charlotte , NC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-06-11
S66 Uniform Combined State Law Examination 2000-10-31
S63 Uniform Securities Agent State Law Examination 1999-11-16
  • S65 Uniform Investment Adviser Law Examination
    2009-06-11
  • S66 Uniform Combined State Law Examination
    2000-10-31
  • S63 Uniform Securities Agent State Law Examination
    1999-11-16
Other Names
  • Mark Dimm
  • Mark Jeffrey Dimm

View on SEC IAPD

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