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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NV RA APPROVED 2023-08-07
TX RA APPROVED_RES 2016-11-18
MI RA APPROVED 2010-08-12
  • NV RA
    APPROVED
    Since 2023-08-07
  • TX RA
    APPROVED_RES
    Since 2016-11-18
  • MI RA
    APPROVED
    Since 2010-08-12

Branch Locations

2549 Jolly Road Suite 300, Okemos, MI 48864 • United States

Las Vegas, NV • 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. Okemos MI 09/2005 03/2020
Ameriprise Financial Services, Llc Okemos MI 03/2020 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-07-23
S63 Uniform Securities Agent State Law Examination 1997-11-17
  • S66 Uniform Combined State Law Examination
    2010-07-23
  • S63 Uniform Securities Agent State Law Examination
    1997-11-17
Other Names
  • Thomas Richard Jones

View on SEC IAPD

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