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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 2019-03-11
CT RA APPROVED 2003-02-18
  • TX RA
    APPROVED
    Since 2019-03-11
  • CT RA
    APPROVED
    Since 2003-02-18

Branch Locations

2507 Post Rd Fl 3, Southport, CT 06890-1259 • United States

Fairfield, CT • 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. Southport CT 09/2005 03/2020
Ameriprise Financial Services, Llc Southport CT 03/2020 Present
Previous Registrations
  • 2003-01-13 → 2003-01-27
    Msi Financial Services, Inc.
    New Rork, NY
  • 2002-09-27 → 2003-01-13
    Invest Financial Corporation
    New York, NY
Other Businesses

Business Ownership; KMBT Management Co; The Financial Practice Manager is responsible for the overall strategic and operational responsibility of the Practice?s staff, programs, expansion, and execution of the mission. This position provides leadership, management, and vision necessary to ensure that the Company has proper operational controls, administrative procedures, and people systems in place to effectively grow the organization and endure operating efficiency. Additionally, this position is responsible for all day-to-day management decisions, execution of the Company?s mission, and for implementing the Company?s long-term and short-term objectives.; S Corp set up at the advice on my CPA; 2507 Post Road, , Southport, CT, 06890; Investment-Related; 11/14/2022; 60 hours per month; 60 during trading hours. Outside Employment; KMBT Management Co; Owner - Financial Advisory Practice Manager; ; 2507 Post Road, , Southport, CT, 6890; Investment-Related; 11/14/2022; 60 hours per month; 60 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-06-02
S63 Uniform Securities Agent State Law Examination 1996-10-11
  • S65 Uniform Investment Adviser Law Examination
    1997-06-02
  • S63 Uniform Securities Agent State Law Examination
    1996-10-11
Designations

View on SEC IAPD

Other Firms

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