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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 2017-02-10
DE RA APPROVED 1998-02-20
  • TX RA
    APPROVED_RES
    Since 2017-02-10
  • DE RA
    APPROVED
    Since 1998-02-20

Branch Locations

1011 Centre Rd Ste 100, Wilmington, DE 19805-1270 • United States

New Castle, DE • 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. Wilmington DE 09/2005 03/2020
Ameriprise Financial Services, Llc Wilmington DE 03/2020 Present
Other Businesses

Real Estate Ownership; Single Family; 44 E 4th Street, , New Castle, DE, 19720; Not Investment-Related; 04/01/2025. Board of Directors; New Castle Community Partnership, Inc; Board Member; PO Box 444, , New Castle, DE, 19720; Not Investment-Related; 01/01/2014; 1 to 9 hours per month; 1 to 9 during trading hours / New Caste Historical Society; Board Member/Treasurer; 30 Market Street, , New Castle, DE, 19720; Investment-Related; 03/01/2018; 1 to 9 hours per month; 1 to 9 during trading hours. Other Business Activities; Finance Committee for the City of New Castle; The City of New Castle has just developed a Finance Committee to assist their Treasurer with financial aspects of the City. They are developing an endowment, and I will work with the committee to develop their policies and procedures and Investment Policy Statement. They will have a professional company who assist with the above, and will manage the funds, and make recommendations to the committee. The Council is bringing this up at their next meeting on July 8th for a vote. I was just informed.; 220 Delaware Street, , New Castle, DE, 19720; Investment-Related; 07/08/2025; 1 to 9 hours per month; 1 to 9 during trading hours / Development Committee Member; Provide input for the annual development plan and goals for budgeting Works with finance committee to develop a balanced budget Maintains current donors through good stewardship and builds relationships with constituents to expand donor base for all fundraising efforts; 165 Airport Road, , New Castle, DE, 19720; Not Investment-Related; 04/01/2026; 1 to 9 hours per month; 1 to 9 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-01-07
S63 Uniform Securities Agent State Law Examination 1997-12-06
  • S65 Uniform Investment Adviser Law Examination
    1998-01-07
  • S63 Uniform Securities Agent State Law Examination
    1997-12-06

View on SEC IAPD

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