William C Prather

Current Employers

Ameriprise Financial Services, Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2006-10-05
CT	RA	APPROVED	1997-06-27

TX RA
APPROVED_RES

Since 2006-10-05
CT RA
APPROVED

Since 1997-06-27

Branch Locations

1 Bradley Rd Ste 903, Woodbridge, CT 06525 • United States

Stratford, CT • 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 Yes
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Woodbridge	CT	09/2005	03/2020
Ameriprise Financial Services, Llc	Woodbridge	CT	03/2020	Present

09/2005 → 03/2020

Ameriprise Financial Services, Inc.

Woodbridge, CT
03/2020 → Present

Ameriprise Financial Services, Llc

Woodbridge, CT

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1997-05-15
S63	Uniform Securities Agent State Law Examination	1997-05-06

S65 Uniform Investment Adviser Law Examination

1997-05-15
S63 Uniform Securities Agent State Law Examination

1997-05-06

Other Names

Bill Prather