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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 2006-10-05
FL RA APPROVED 1998-01-23
  • TX RA
    APPROVED_RES
    Since 2006-10-05
  • FL RA
    APPROVED
    Since 1998-01-23

Branch Locations

501 S Dakota Ave Ste 1, Tampa, FL 33606-2579 • United States

Tampa, FL • United States

Disclosures

3 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Clearwater FL 09/1996 03/2020
Ameriprise Financial Services, Llc Tampa FL 03/2020 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-06-02
S63 Uniform Securities Agent State Law Examination 1996-07-19
  • S65 Uniform Investment Adviser Law Examination
    2014-06-02
  • S63 Uniform Securities Agent State Law Examination
    1996-07-19

View on SEC IAPD

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