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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NH RA APPROVED 2019-09-19
  • NH RA
    APPROVED
    Since 2019-09-19

Branch Locations

2 Commerce Dr Ste 201, Bedford, NH 03110-6803 • United States

Concord, NH • 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
Lpl Financial, Llc Manchester NH 02/2014 09/2019
Flatiron Financial Group, Llc Manchester NH 03/2014 08/2019
Ameriprise Financial Services Inc Manchester NH 09/2019 03/2020
Ameriprise Financial Services, Llc Bedford NH 03/2020 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-06-25
  • S66 Uniform Combined State Law Examination
    2001-06-25
Other Names
  • Sean Allen Smalley
  • Sean A Smalley

View on SEC IAPD

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