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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-16
  • NY RA
    APPROVED
    Since 2021-04-16

Branch Locations

1600 Stewart Ave Ste 303, Westbury, NY 11590 • United States

Smithtown, NY • United States

Disclosures

2 disclosure categories 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Melville NY 05/2005 03/2020
Ameriprise Financial Services, Llc Westbury NY 03/2020 Present
Other Businesses

Outside Employment; Joseph Liana; AFA; Administrative activities for Ameriprise Advisor Joseph Liana; 1600 stewart ave, 303, westbury, NY, 11590; Investment-Related; 06/01/2022; 20 to 39 hours per month; 20 to 39 during trading hours.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2002-06-20
  • S63 Uniform Securities Agent State Law Examination
    2002-06-20

View on SEC IAPD

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