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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2016-07-08
TX RA APPROVED_RES 2016-01-26
NJ RA APPROVED 2016-01-21
  • MN RA
    APPROVED
    Since 2016-07-08
  • TX RA
    APPROVED_RES
    Since 2016-01-26
  • NJ RA
    APPROVED
    Since 2016-01-21

Branch Locations

200 Campus Dr Ste 150, Florham Park, NJ 07932-1007 • United States

Hewitt, NJ • 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. Florham Park NJ 01/2016 03/2020
Ameriprise Financial Services, Llc Florham Park NJ 03/2020 Present
Previous Registrations
  • 2010-01-28 → 2016-01-20
    Short Hills, NJ
  • 2009-10-09 → 2010-02-19
    Parsippany, NJ
  • 2005-11-15 → 2009-10-09
    J. B. Hanauer & Co.
    Philadelphia, PA
    Parsippany, NJ
    Philadelphia, PA
Other Businesses

Business Ownership; Tac- House LLC; Partner/Founder; Indoor Laser Tag entertainment facility; 373 Rt 46 West, , Fairfield, NJ, 07004; Not Investment-Related; 02/01/2020; 1 to 9 hours per month; 0 during trading hours / Pebble In Your Shoe LLC; partner in the business. My responsibilities are in creative design and marketing.; Hatchet Throwing Venue; 373 Rt 46W, , Fairfield, NJ, 07004; Not Investment-Related; 11/15/2017; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-11-01
S63 Uniform Securities Agent State Law Examination 1997-06-25
  • S65 Uniform Investment Adviser Law Examination
    2005-11-01
  • S63 Uniform Securities Agent State Law Examination
    1997-06-25

View on SEC IAPD

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