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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NM RA APPROVED 2013-06-03
  • NM RA
    APPROVED
    Since 2013-06-03

Branch Locations

107 Bryn Mawr Dr Se, Albuquerque, NM 87106-2209 • United States

Albuquerque, NM • 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. Albuquerque NM 05/2013 03/2020
Ameriprise Financial Services, Llc Albuquerque NM 03/2020 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1998-07-07
  • S66 Uniform Combined State Law Examination
    1998-07-07
Other Names
  • David S Garrett

View on SEC IAPD

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