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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2003-09-30
  • PA RA
    APPROVED
    Since 2003-09-30

Branch Locations

180 Good Dr Ste 1, Lancaster, PA 17603 • United States

Lancaster, PA • 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. Lancaster PA 05/2001 03/2020
Ameriprise Financial Services, Llc Lancaster PA 03/2020 Present
Other Businesses

Board of Directors; Donegal Trout Unlimited; Membership Chair; 1383 Arcadia Rd, , Lancaster, PA, 17601; Not Investment-Related; 07/03/2023; 1 to 9 hours per month; 0 during trading hours. Outside Employment; BNB Knives; Sales Expert - Talking to dealers and attending Knife Shows; ; 110 Brimmer Ave, , New Holland, PA, 17557; Not Investment-Related; 09/15/2021; 10 to 19 hours per month; 0 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-09-25
S63 Uniform Securities Agent State Law Examination 1998-04-09
  • S66 Uniform Combined State Law Examination
    2003-09-25
  • S63 Uniform Securities Agent State Law Examination
    1998-04-09

View on SEC IAPD

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