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Scott Allen Stephens

Ameriprise Financial Services, LLC

Raleigh, NC

Emerald Isle, NC

Greenville, NC

Raleigh, NC

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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 2014-08-18
NC RA APPROVED 2001-12-31
  • TX RA
    APPROVED_RES
    Since 2014-08-18
  • NC RA
    APPROVED
    Since 2001-12-31

Branch Locations

4700 Falls Of Neuse Rd, Raleigh, NC 27609-6200 • United States

8754 Reed Dr Ste 13, Emerald Isle, NC 28594 • United States

1604 E Fire Tower Rd Ste C, Greenville, NC 27858 • United States

Raleigh, NC • 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. Raleigh NC 09/2005 03/2020
Ameriprise Financial Services, Llc Raleigh NC 03/2020 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-06-30
S63 Uniform Securities Agent State Law Examination 1998-06-23
  • S65 Uniform Investment Adviser Law Examination
    1998-06-30
  • S63 Uniform Securities Agent State Law Examination
    1998-06-23

View on SEC IAPD

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