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Richard Francis Keelty

Ameriprise Financial Services, LLC

Charlotte, NC

Charlotte, NC

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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2022-04-11
  • NC RA
    APPROVED
    Since 2022-04-11

Branch Locations

4521 Sharon Rd Ste 300, Charlotte, NC 28211 • United States

Charlotte, NC • 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
Capital Research & Mgnt Co. Los Angeles CA 11/1998 10/2017
Ameriprise Financial Services Inc Los Angeles CA 07/2018 03/2020
Unemployed Pasadena CA 11/2017 07/2018
Ameriprise Financial Services, Llc Charlotte NC 03/2020 Present
  • 11/1998 → 10/2017
    Capital Research & Mgnt Co.
    Los Angeles, CA
  • 07/2018 → 03/2020
    Ameriprise Financial Services Inc
    Los Angeles, CA
  • 11/2017 → 07/2018
    Unemployed
    Pasadena, CA
  • 03/2020 → Present
    Ameriprise Financial Services, Llc
    Charlotte, NC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-08-23
S63 Uniform Securities Agent State Law Examination 2018-08-17
  • S65 Uniform Investment Adviser Law Examination
    2018-08-23
  • S63 Uniform Securities Agent State Law Examination
    2018-08-17

View on SEC IAPD

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