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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2010-09-09
  • VA RA
    APPROVED
    Since 2010-09-09

Branch Locations

307 E Market St Ste 100, Leesburg, VA 20176 • United States

Leesburg, VA • 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. Leesburg VA 04/2010 03/2020
Ameriprise Financial Services, Llc Leesburg VA 03/2020 Present
Other Businesses

Real Estate Ownership; Lot/Land; 19026 Shelburne Glebe Rd.Leesburg, VA 20175a, ,; ; 11/15/1980. Board of Directors; Conversations at Oatlands; Board Member; 19026 Shelburne Glebe Rd, , Leesburg, VA, 20175; Not Investment-Related; 12/01/2010; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-09-08
S63 Uniform Securities Agent State Law Examination 2002-07-11
  • S65 Uniform Investment Adviser Law Examination
    2010-09-08
  • S63 Uniform Securities Agent State Law Examination
    2002-07-11
Other Names
  • Carole Ann Hall
  • Carole Hall Maloney

View on SEC IAPD

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