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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 2023-05-30
NH RA APPROVED 1997-12-31
  • TX RA
    APPROVED_RES
    Since 2023-05-30
  • NH RA
    APPROVED
    Since 1997-12-31

Branch Locations

276 Newport Rd Ste 213 Po Box 2518, New London, NH 03257 • United States

Charlestown, NH • 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. New London NH 09/2005 03/2020
Ameriprise Financial Services, Llc New London NH 03/2020 Present
Other Businesses

Board of Directors; Trustee of Trust Fund Town of Charlestown NH; Chairman; PO Box 385, 216 Main St., Charlestown, NH 03603, ,; ; 03/01/2011; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-01-13
S63 Uniform Securities Agent State Law Examination 1997-10-10
  • S65 Uniform Investment Adviser Law Examination
    1998-01-13
  • S63 Uniform Securities Agent State Law Examination
    1997-10-10
Other Names
  • William Michael Sullivan
  • William Sullivan

View on SEC IAPD

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