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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 2016-09-25
TX RA APPROVED_RES 2016-08-29
  • NH RA
    APPROVED
    Since 2016-09-25
  • TX RA
    APPROVED_RES
    Since 2016-08-29

Branch Locations

25 Chestnut St Ste 300N, Portsmouth, NH 03801-4064 • United States

Amherst, 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
Ameriprise Financial Services, Inc. Portsmouth NH 08/2016 03/2020
Ameriprise Financial Services, Llc Bedford NH 03/2020 Present
Previous Registrations
  • 2008-11-14 → 2016-09-07
    Bedford, NH
  • 2007-04-02 → 2008-11-17
    Morgan Stanley & Co. Llc
    Nashua, NH
  • 1998-09-21 → 2007-04-02
    Morgan Stanley Dw Inc.
    Nashua, NH
    Nashua, NH
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-11-06
S63 Uniform Securities Agent State Law Examination 1998-01-09
  • S65 Uniform Investment Adviser Law Examination
    2002-11-06
  • S63 Uniform Securities Agent State Law Examination
    1998-01-09

View on SEC IAPD

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