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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 2023-01-20
  • TX RA
    APPROVED
    Since 2023-01-20

Branch Locations

Needham, MA • United States

60 William Street Suite 140, Wellesley, MA 02481-3810 • 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
Citizens Investment Services Corp Boston MA 04/2002 01/2023
Ameriprise Financial Services Wellesley MA 01/2023 01/2023
Ameriprise Financial Services, Llc Wellesley MA 03/2020 03/2020
Ameriprise Financial Services, Llc. Wellesley MA 01/2023 Present
Previous Registrations
  • 2006-11-30 → 2023-01-20
    Allston, MA
    Newton, MA
    Chestnut Hill, MA
    Watertown, MA
    Watertown, MA
    Watertown, MA
    Newton, MA
    Newtonville, MA
    Allston, MA
    Watertown, MA
    Allston, MA
    Hudson, MA
    Hudson, MA
Other Businesses

Independent Insurance Brokering; Delaware Life; 03/07/2014; Fixed Annuity / Mass Mutual; 03/20/2022; Fixed Annuity / Northwestern Mutual; 06/28/2024; Term Life, Whole Life. Business Ownership; MapleRock Wealth Management; Co-owner; Manage Ameriprise Business; 60 William St. Ste. 140, , Wellesley, MA, 02481; Investment-Related; 01/20/2023; 40 to 59 hours per month; 20 to 39 during trading hours / Durum Wheat Inc.; Owner; this Co is the 50% owner of Winter Durum LLC; 26 Arthur St., , Natick, MA, 01760; Not Investment-Related; 01/17/2023; 1 to 9 hours per month; 0 during trading hours / Winter Durum LLC; this is the LLC that pays our AP staff, the lease and most of our expenses; this is the LLC that pays our AP staff, the lease and most of our expenses; 26 Arthur St, , natick, MA, 01760; Not Investment-Related; 12/07/2022; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-11-29
S63 Uniform Securities Agent State Law Examination 1997-07-11
  • S65 Uniform Investment Adviser Law Examination
    2006-11-29
  • S63 Uniform Securities Agent State Law Examination
    1997-07-11
Designations
Other Names
  • Christopher Michael Suraci
  • Chris Suraci

View on SEC IAPD

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