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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
ID RA APPROVED 2024-07-31
NV RA APPROVED 2015-12-10
UT RA APPROVED 2015-12-10
TX RA APPROVED_RES 2015-11-17
  • ID RA
    APPROVED
    Since 2024-07-31
  • NV RA
    APPROVED
    Since 2015-12-10
  • UT RA
    APPROVED
    Since 2015-12-10
  • TX RA
    APPROVED_RES
    Since 2015-11-17

Branch Locations

10845 Griffith Peak Dr Ste 690, Las Vegas, NV 89135 • United States

Las Vegas, NV • United States

Post Falls, ID • 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. Henderson NV 11/2015 03/2020
Ameriprise Financial Services, Llc Las Vegas NV 03/2020 Present
Previous Registrations
  • 2012-01-19 → 2015-12-11
    Tricor Advisory Services, Llc
    Las Vegas, NV
  • 2014-03-06 → 2014-10-22
    Aga Advisors, Llc
    Las Vegas, NV
  • 2003-05-14 → 2007-06-20
    Invest Financial Corporation
    Las Vegas, NV
    Las Vegas, NV
  • 2001-05-15 → 2003-05-15
    Las Vegas, NV
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1998-04-09
  • S66 Uniform Combined State Law Examination
    1998-04-09
Other Names
  • Jason L Garofalo

View on SEC IAPD

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