Best Investors Account Sign in
Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 1997-07-31
  • CT RA
    APPROVED
    Since 1997-07-31

Branch Locations

945 Main St Ste 305, Manchester, CT 06040 • United States

West Hartford, 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 No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Manchester CT 09/2005 03/2020
Ameriprise Financial Services, Llc Manchester CT 03/2020 Present
Other Businesses

Business Ownership; M.C.M. Group LLC; Member of the LLC that allows me the opportunity to sit on a condo board that the LLC owns (if elected); Real Estate Holding LLC; 945 Main St, Suite 305, Manchester, CT, 06040; Not Investment-Related; 10/01/2019; 1 to 9 hours per month; 0 during trading hours / M. Ellis & Co LLC; President. Record keeping and payroll; Staffing for my practice; 945 Main St, Suite 305, Manchester, CT, 06040; Investment-Related; 12/16/2019; 40 to 59 hours per month; 10 to 19 during trading hours / Momentum Martial Arts LLC; Co-owner; Martial Arts Studio; 2610 N Chruch St , Number 380836, Wilmington, DE, 19802; Not Investment-Related; 07/10/2024; 1 to 9 hours per month; 0 during trading hours. Board of Directors; Sunny Reach Property Owners Association; Board member; Sunny Reach Dr, , West Hartford, CT, 6117; Not Investment-Related; 10/03/2022; 1 to 9 hours per month; 0 during trading hours / One Heritage Place Condo Assoc Board of Directors; President; 945 Main St, , Manchester, CT, 6040; Not Investment-Related; 04/15/2025; 1 to 9 hours per month; 0 during trading hours / SCFH Members Support Collective, Inc; Member; 78 Batson Dr, , Manchester, CT, 06042; Not Investment-Related; 02/02/2026; 1 to 9 hours per month; 1 to 9 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-07-29
S63 Uniform Securities Agent State Law Examination 1997-07-10
  • S65 Uniform Investment Adviser Law Examination
    1997-07-29
  • S63 Uniform Securities Agent State Law Examination
    1997-07-10

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Manchester, CT

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor