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Sean Michael Duffy

Ameriprise Financial Services, LLC

Annapolis, MD

Alexandria, VA

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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2022-09-22
VA RA APPROVED 2016-12-14
  • MD RA
    APPROVED
    Since 2022-09-22
  • VA RA
    APPROVED
    Since 2016-12-14

Branch Locations

170 Jennifer Rd Ste 330, Annapolis, MD 21401 • United States

Alexandria, VA • 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
A.G. Edwards & Sons, Inc. St. Louis MO 08/2001 12/2016
Ameriprise Financial Services, Inc. Washington DC 12/2016 03/2020
Ameriprise Financial Services, Llc Silver Spring MD 03/2020 Present
  • 08/2001 → 12/2016
    A.G. Edwards & Sons, Inc.
    St. Louis, MO
  • 12/2016 → 03/2020
    Ameriprise Financial Services, Inc.
    Washington, DC
  • 03/2020 → Present
    Ameriprise Financial Services, Llc
    Silver Spring, MD
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-04-28
S63 Uniform Securities Agent State Law Examination 1998-10-05
  • S65 Uniform Investment Adviser Law Examination
    2008-04-28
  • S63 Uniform Securities Agent State Law Examination
    1998-10-05

View on SEC IAPD

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Other Offices

AMERIPRISE FINANCIAL SERVICES, LLC · ANNAPOLIS, MD
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · ANNAPOLIS, MD
CETERA INVESTMENT ADVISERS LLC · Annapolis, MD
RCS FINANCIAL PLANNING, LLC · ANNAPOLIS, MD
AMERIPRISE FINANCIAL SERVICES, LLC · Annapolis, MD
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