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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2026-03-18
TX RA APPROVED_RES 2008-04-24
  • MO RA
    APPROVED
    Since 2026-03-18
  • TX RA
    APPROVED_RES
    Since 2008-04-24

Branch Locations

Great Southern Finanical Svcs 1342 E Kingsley St Ste E, Springfield, MO 65804 • United States

Nixa, MO • 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. Springfield MO 06/1997 03/2020
Ameriprise Financial Services, Llc Springfield MO 03/2020 Present
Other Businesses

Board of Directors; Wasson Lake Home Owners Association; Secretary; 805 W Morning Glory Drive, , Nixa, MO, 65714-8452; Not Investment-Related; 09/15/2024; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2026-03-13
S63 Uniform Securities Agent State Law Examination 1997-07-18
  • S65 Uniform Investment Adviser Law Examination
    2026-03-13
  • S63 Uniform Securities Agent State Law Examination
    1997-07-18
Other Names
  • Carolyn Stretz

View on SEC IAPD

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