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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_RES 2022-08-10
IL RA APPROVED 2009-10-05
  • TX RA
    APPROVED_RES
    Since 2022-08-10
  • IL RA
    APPROVED
    Since 2009-10-05

Branch Locations

1 Lincoln Ctr Ste 1500, Oakbrook Terrace, IL 60181 • United States

Westmont, IL • 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. Oakbrook Terrace IL 10/2009 03/2020
Ameriprise Financial Services, Inc. Lisle IL 10/2009 03/2020
Ameriprise Financial Services, Llc Oakbrook Terrace IL 03/2020 Present
  • 10/2009 → 03/2020
    Ameriprise Financial Services, Inc.
    Oakbrook Terrace, IL
  • 10/2009 → 03/2020
    Ameriprise Financial Services, Inc.
    Lisle, IL
  • 03/2020 → Present
    Oakbrook Terrace, IL
Previous Registrations
  • 2008-07-30 → 2009-10-05
    Ameriprise Advisor Services, Inc.
    Oakbrook Terrace, IL
  • 2000-01-24 → 2008-03-03
    Oakbrook Terrace, IL
    Oakbrook Terrace, IL
Other Businesses

Board of Directors; Fairfield VII&VIII HOA; Secretary; 58th St, , Westmont, IL, 60559; Not Investment-Related; 08/15/2020; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-11-23
S63 Uniform Securities Agent State Law Examination 1999-11-01
  • S65 Uniform Investment Adviser Law Examination
    1999-11-23
  • S63 Uniform Securities Agent State Law Examination
    1999-11-01

View on SEC IAPD

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