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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
ME RA APPROVED 2003-01-13
  • ME RA
    APPROVED
    Since 2003-01-13

Branch Locations

Wyman Twp, ME • United States

7 Oak Hill Terrace Suite 214, Scarborough, ME 04074-8996 • United States

Portland, ME • 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. Scarborough ME 09/2005 03/2020
Ameriprise Financial Services, Llc Scarborough ME 03/2020 Present
Other Businesses

Real Estate Ownership; Single Family; 6 Vera St, , Portland, ME, 04103; Not Investment-Related; 07/07/2023.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-01-10
S63 Uniform Securities Agent State Law Examination 1998-06-03
  • S66 Uniform Combined State Law Examination
    2003-01-10
  • S63 Uniform Securities Agent State Law Examination
    1998-06-03

View on SEC IAPD

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