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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 2026-01-14
PA RA APPROVED 2003-09-15
  • TX RA
    APPROVED_RES
    Since 2026-01-14
  • PA RA
    APPROVED
    Since 2003-09-15

Branch Locations

28C East Rosevile Rd, Lancaster, PA 17601 • United States

Lancaster, PA • 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. Lancaster PA 09/2005 03/2020
Ameriprise Financial Services, Llc Lancaster PA 03/2020 Present
Other Businesses

Business Ownership; AFE ENTERPRISES, LP; ; INVESTMENT REAL ESTATE AND RENTAL; P.O. BOX 5303 LANCASTER, PA 17606-5303, ,; Not Investment-Related; 01/01/2000; 1 to 9 hours per month; 1 to 9 during trading hours. Board of Directors; CPN Breakthrough; Secretary/Treasurer; P.O. Box 5303, , Lancaster, PA, 17606; Not Investment-Related; 02/01/2020; 1 to 9 hours per month; 0 during trading hours / Greystone Manor Therapeutic Riding Center Board of Directors; Board Member; P.O. Box 10724, , Lancaster, PA, 17605-0724; Not Investment-Related; 01/01/2024; 1 to 9 hours per month; 0 during trading hours / Lancaster Catholic High School Board; Board Member; 650 Juliette Ave, , Lancaster, PA, 17601; Not Investment-Related; 01/01/2025; 1 to 9 hours per month; 0 during trading hours / 650 Juliette Avenue Foundation; Board Member; 901 High Meadow Court, , Lancaster, PA, 17601; Not Investment-Related; 09/01/2026; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-09-12
S63 Uniform Securities Agent State Law Examination 1998-07-02
  • S65 Uniform Investment Adviser Law Examination
    2003-09-12
  • S63 Uniform Securities Agent State Law Examination
    1998-07-02
Other Names
  • Anthony Essis
  • Anthony Frank Essis

View on SEC IAPD

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