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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 2023-05-25
FL RA APPROVED 2011-11-29
  • TX RA
    APPROVED
    Since 2023-05-25
  • FL RA
    APPROVED
    Since 2011-11-29

Branch Locations

2700 N Military Trl Ste 390, Boca Raton, FL 33431 • United States

3820 Colonial Blvd Ste 200, Fort Myers, FL 33966 • United States

14520 Main St, Alachua, FL 32615 • United States

Boca Raton, FL • 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. Aventura FL 11/2011 03/2020
Ameriprise Financial Services, Llc Boca Raton FL 03/2020 Present
Previous Registrations
  • 2009-06-01 → 2011-12-05
    Aventura, FL
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Aventura, FL
  • 2001-08-01 → 2007-04-02
    Morgan Stanley Dw Inc.
    Aventura, FL
    Hallandale, FL
    Hallandale, FL
Other Businesses

Independent Insurance Brokering; VOYA; 12/16/2011; Universal Life. Business Ownership; MRB18, LLC; To manage practice operations; Consulting; 2700 N Military Trl, Ste 390, , Boca Raton, FL, 00000; Not Investment-Related; 03/13/2019; 20 to 39 hours per month; 20 to 39 during trading hours / SRA Partners , LLC; This entity will be used to manage my Ameriprise practice.; Operations; 2700 N Military Trl, Ste 390, , Boca Raton, FL, 33431; Not Investment-Related; 04/04/2022; 20 to 39 hours per month; 20 to 39 during trading hours / MRB18m LLC; Owner; Consulting; 2700 N Military Trl, Ste 390, , Boca Raton, FL, 33431; Not Investment-Related; 03/13/2019; 20 to 39 hours per month; 20 to 39 during trading hours / SRA Partners, LLC; Co-owner; Consulting; 2700 N Military Trl, Ste 390, , Boca Raton, FL, 33431; Not Investment-Related; 04/04/2022; 20 to 39 hours per month; 20 to 39 during trading hours / South Florida Tax Solutions, LLC; Co-owner; Tax Preparation; 2700 N Military Trl Ste 390, Boca Raton, FL 33431, USA, , Boca Raton, FL, 33431; Not Investment-Related; 01/01/2026; 1 to 9 hours per month; 1 to 9 during trading hours. Board of Directors; Boca Raton Synagogue Board; Security Chairman and Board Liason; 7900 Montoya Circle, , Boca Raton, FL, 33433; Not Investment-Related; 07/21/2025; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-09-06
S63 Uniform Securities Agent State Law Examination 1997-12-09
  • S65 Uniform Investment Adviser Law Examination
    2001-09-06
  • S63 Uniform Securities Agent State Law Examination
    1997-12-09
Other Names
  • Seth I Bassoff

View on SEC IAPD

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