Best Investors Account Sign in
Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2022-06-10
  • NY RA
    APPROVED
    Since 2022-06-10

Branch Locations

1174 Veterans Memorial Hwy, Hauppauge, NY 11788 • United States

South Salem, NY • 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
Lpl Financial Llc Brewster NY 12/2014 06/2022
Tompkins Trust Company Brewster NY 12/2014 06/2022
Ameriprise Financial Services Hauppauge NY 06/2022 06/2022
Ameriprise Financial Services, Llc Hauppauge NY 03/2020 03/2020
Ameriprise Financial Services, Llc. Hauppauge NY 06/2022 Present
Previous Registrations
  • 2015-06-18 → 2022-07-06
    Brewster, NY
    Mt. Kisco, NY
    Mt. Kisco, NY
    Mt. Kisco, NY
    Yonkers, NY
    Wappingers Falls, NY
    Sleepy Hollow, NY
    Poughkeepsie, NY
    Mahopac Falls, NY
    Hopewell Junction, NY
    Yonkers, NY
    Putnam Valley, NY
    Pleasantville, NY
    Ossining, NY
    Mahopac, NY
    Brewster, NY
    Brewster, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-06-17
S63 Uniform Securities Agent State Law Examination 2002-05-21
  • S66 Uniform Combined State Law Examination
    2015-06-17
  • S63 Uniform Securities Agent State Law Examination
    2002-05-21
Other Names
  • Steve K Shepherd

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Hauppauge, NY

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor