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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 2016-01-06
MI RA APPROVED 2010-10-12
  • TX RA
    APPROVED_RES
    Since 2016-01-06
  • MI RA
    APPROVED
    Since 2010-10-12

Branch Locations

112 Court St, Mt Pleasant, MI 48858 • United States

Mt Pleasant, MI • 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. Mt Pleasant MI 06/2006 03/2020
Ameriprise Financial Services, Llc Mt Pleasant MI 03/2020 Present
Other Businesses

Outside Employment; HS Companies LLC; Employee; Manage advisory business; 112 Court Street, , Mount Pleasant, MI, 48858; Investment-Related; 01/01/2015; 40 to 59 hours per month; 40 to 59 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-09-23
S63 Uniform Securities Agent State Law Examination 2001-02-01
  • S66 Uniform Combined State Law Examination
    2010-09-23
  • S63 Uniform Securities Agent State Law Examination
    2001-02-01
Other Names
  • Karen Sue Klumpp

View on SEC IAPD

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