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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2016-10-05
TX RA APPROVED_RES 2016-09-15
  • WA RA
    APPROVED
    Since 2016-10-05
  • TX RA
    APPROVED_RES
    Since 2016-09-15

Branch Locations

310 120Th Ave Ne Ste 101, Bellevue, WA 98005 • United States

Bellevue, WA • 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
Ubs Financial Services Inc. Renton WA 07/2015 09/2016
Ameriprise Financial Services, Inc. Renton WA 09/2016 03/2020
Ameriprise Financial Services, Llc Bellevue WA 03/2020 Present
Previous Registrations
Other Businesses

Business Ownership; Thumper Enterprises LLC; Leadership, management and planning decisions, manage operations and resource allocation, oversee budget development and implementation, manage business activities, negotiate salaries and conduct employee reviews, coordinate business tax filings.; Entity to support practice by managing day to day operations and expenses.; 150 120th Ave NE Ste 205, , Bellevue, WA, 98005; Not Investment-Related; 01/01/2021; 10 to 19 hours per month; 1 to 9 during trading hours / Attamood LLC; Owner; Manage Ameriprise Business; 310 120th Ave NE, , Bellevue, WA, 98005; Not Investment-Related; 02/01/2024; 1 to 9 hours per month; 0 during trading hours. Outside Employment; Thumper Enterprises LLC; President - Leadership, management and planning decisions, manage operations and resource allocation, oversee budget development and implementation, manage business activities, negotiate salaries and conduct employee reviews, coordinate business tax filings.; ; 150 120th Ave NE Ste 205, , Bellevue, WA, 98005; Not Investment-Related; 01/01/2021; 10 to 19 hours per month; 1 to 9 during trading hours.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1996-12-19
S65 Uniform Investment Adviser Law Examination 1996-12-19
  • S63 Uniform Securities Agent State Law Examination
    1996-12-19
  • S65 Uniform Investment Adviser Law Examination
    1996-12-19
Other Names
  • Dana Carley
  • Dana Marie Ferrell

View on SEC IAPD

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