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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 2020-09-09
WA RA APPROVED 1997-09-15
  • TX RA
    APPROVED
    Since 2020-09-09
  • WA RA
    APPROVED
    Since 1997-09-15

Branch Locations

4407 N Division St Ste 605, Spokane, WA 99207-1613 • United States

Spokane, WA • 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. Spokane WA 09/2005 03/2020
Ameriprise Financial Services, Llc Spokane WA 03/2020 Present
Other Businesses

Board of Directors; Spring of Hope; Board Member; 712 W Nora, , Spokane, WA, 99205; Not Investment-Related; 05/18/2025; 1 to 9 hours per month; 0 during trading hours. Outside Employment; Directional Decisions, LLC; Employee of the firm.; Manage advisory business; 4407 N Division St, STE 605, Spokane, WA, 99207; Investment-Related; 09/17/2025; 60 hours per month; 60 during trading hours.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1997-07-23
S65 Uniform Investment Adviser Law Examination 1997-07-23
  • S63 Uniform Securities Agent State Law Examination
    1997-07-23
  • S65 Uniform Investment Adviser Law Examination
    1997-07-23

View on SEC IAPD

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