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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 2014-08-27
WI RA APPROVED 2012-08-08
  • TX RA
    APPROVED
    Since 2014-08-27
  • WI RA
    APPROVED
    Since 2012-08-08

Branch Locations

380 Main Ave Ste 2, De Pere, WI 54115-2203 • United States

Luxemburg, WI • United States

Disclosures

1 disclosure category 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 No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Depere WI 08/2012 03/2020
Ameriprise Financial Services, Llc De Pere WI 03/2020 Present
Previous Registrations
  • 2009-04-02 → 2012-08-08
    Cetera Wealth Services, Llc
    West Allis, WI
    De Pere, WI
  • 2006-07-17 → 2009-03-19
    De Pere, WI
    Madison, WI
    De Pere, WI
Other Businesses

Independent Insurance Brokering; Northwestern Mutual Life Insurance Company; 02/03/2022; Term Life. Business Ownership; SFG 380 Vision; ; SFG 380 Vision is being created to pay non-commission expenses of the business. It will pay rents, utilities and non-licensed staff of the company. My Sole Proprietorship will still pay AFAs per documents created with Employshare; 380 Main Ave, Ste 2DePere, WI 54115, ,; Investment-Related; 05/01/2016; 60 hours per month; 60 during trading hours / 380 Main Avenue Properties, LLC; ; Real Estate Ownership of business address (380 Main Avenue) and new property (317 Main Avenue); 380 Main AvenueDe Pere, WI 54115, ,; Not Investment-Related; 02/01/2013; 1 to 9 hours per month; 1 to 9 during trading hours / DRSSFGOC, LLC; Owner; This LLC is being created to receive owner's draws from SFG Vision as a sole member entity.; 810 Woodlawn Ct, , LUXEMBURG, WI, 54217; Investment-Related; 06/03/2024; 1 to 9 hours per month; 0 during trading hours. Board of Directors; MHO, Inc.; Director; 810 Woodlawn Ct, , LUXEMBURG, WI, 54217; Not Investment-Related; 07/19/2019; 1 to 9 hours per month; 1 to 9 during trading hours / LALPOA; Board Member; 17327 Sandi Lane, , Townsend, WI, 54175; Not Investment-Related; 07/01/2025; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-07-11
S63 Uniform Securities Agent State Law Examination 1996-10-15
  • S66 Uniform Combined State Law Examination
    2006-07-11
  • S63 Uniform Securities Agent State Law Examination
    1996-10-15
Designations

View on SEC IAPD

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