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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2026-03-10
WI RA APPROVED 2026-03-03
  • IL RA
    APPROVED
    Since 2026-03-10
  • WI RA
    APPROVED
    Since 2026-03-03

Branch Locations

101 E First St, Dixon, IL 61021-3023 • United States

2135 City Gate Ln, Naperville, IL 60563-3018 • United States

1505 9Th St, Monroe, WI 53566 • 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
Lpl Financial Llc Brodhead WI 05/2012 11/2016
Berthel, Fisher & Company Financial Services, Inc Monroe WI 11/2016 02/2026
Bfc Planning, Inc. Monroe WI 11/2016 02/2026
Ameriprise Financial Services, Llc Monroe WI 03/2026 Present
Previous Registrations
  • 2016-11-10 → 2026-03-04
    Monroe, WI
    Cedar Rapids, IA
  • 2012-05-31 → 2016-11-30
    Southwayne, WI
    Appleton, WI
    Monroe, WI
  • 2007-03-21 → 2012-06-04
    Brodhead, WI
    St Louis, MO
    South Wayne, WI
    Monroe, WI
  • 2006-01-17 → 2007-01-04
    Ffp Advisory Services Inc
    Argyle, WI
  • 2004-06-10 → 2006-01-23
    American General Securities Incorporated
    Warren, IL
Other Businesses

Business Ownership; seffrood land llc; Co-owner; Real Estate; 8329 cnty rd d, , south wayne, WI, 53587; Not Investment-Related; 07/29/2014; 10 to 19 hours per month; 1 to 9 during trading hours / KSSS Rentals LLC; Co-owner; Real Estate; 8329 cnty rd d, , south wayne, WI, 53587; Not Investment-Related; 03/08/2021; 1 to 9 hours per month; 0 during trading hours / Seffrood land LLC; Co-owner; Real Estate; 8329 cnty rd d, , south wayne, WI, 53587; Not Investment-Related; 07/29/2014; 0 hours per month; 1 to 9 during trading hours. Outside Employment; Boa Safra; Consultant; Consulting company that does soil analysis for the growing of crops for farmers.; 8329 cnty rd d, , south wayne, WI, 53587; Not Investment-Related; 01/01/2025; 1 to 9 hours per month; 1 to 9 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-05-04
S63 Uniform Securities Agent State Law Examination 1997-01-30
  • S65 Uniform Investment Adviser Law Examination
    2004-05-04
  • S63 Uniform Securities Agent State Law Examination
    1997-01-30
Other Names
  • Stuart Seffrood
  • Stuart Lee Seffrood

View on SEC IAPD

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