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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2019-08-02
IN RA APPROVED 2010-12-20
  • TX RA
    APPROVED_RES
    Since 2019-08-02
  • IN RA
    APPROVED
    Since 2010-12-20

Branch Locations

515 Park Place Cir Ste 300, Mishawaka, IN 46545-3585 • United States

Elkhart, IN • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Mishawaka IN 09/2005 03/2020
Ameriprise Financial Services, Llc Mishawaka IN 03/2020 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-12-17
S63 Uniform Securities Agent State Law Examination 1998-06-19
  • S65 Uniform Investment Adviser Law Examination
    2010-12-17
  • S63 Uniform Securities Agent State Law Examination
    1998-06-19

View on SEC IAPD

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