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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 2018-03-21
WA RA APPROVED 2007-01-18
  • TX RA
    APPROVED_RES
    Since 2018-03-21
  • WA RA
    APPROVED
    Since 2007-01-18

Branch Locations

421 W Riverside Suite 308, Spokane, WA 99201-0402 • United States

Spokane, 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
Ameriprise Financial Services, Inc. Spokane WA 07/1997 03/2020
Ameriprise Financial Services, Llc Spokane WA 03/2020 Present
Other Businesses

Business Ownership; Gega LLC; manage expenses; handle financial expenses of financial planning practice; 612 W Main Ave Apt 806, , Spokane, WA, 99201; Not Investment-Related; 05/17/2022; 1 to 9 hours per month; 0 during trading hours / Breighela James DBA Jaazz Hair Salon; Co-owner; Jaazz Hair Salon is being purchased by my wife. It is a salon where men and women have their hair cut; 421 W Main Ave, STE 102, Spokane, WA, 99201; Not Investment-Related; 12/02/2024; 20 to 39 hours per month; 1 to 9 during trading hours. Board of Directors; Partnering for Progress; Board Member; P.O. Box 28191, , Spokane, WA, 99228; Investment-Related; 01/08/2021; 1 to 9 hours per month; 0 during trading hours. Outside Employment; Gega LLC; President and Manager - Manage expenses; ; 612 W Main Ave #806, , Spokane, WA, 99201; Not Investment-Related; 08/12/2022; 10 to 19 hours per month; 0 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-01-17
S63 Uniform Securities Agent State Law Examination 1997-08-29
  • S66 Uniform Combined State Law Examination
    2007-01-17
  • S63 Uniform Securities Agent State Law Examination
    1997-08-29

View on SEC IAPD

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