Lauren Sue Rosenberg-moffitt

Employer firm

Ameriprise Financial Services, LLC CRD 6363

$660B regulatory AUM 124,349 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers

Ameriprise Financial Services, Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2021-05-06
NY	RA	APPROVED	2021-04-16

TX RA
APPROVED_RES

Since 2021-05-06
NY RA
APPROVED

Since 2021-04-16

Branch Locations

98 Cuttermill Rd Ste 248 S, Great Neck, NY 11021-3010 • United States

Manhasset, NY • 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

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Great Neck	NY	09/2005	03/2020
Ameriprise Financial Services, Llc	Great Neck	NY	03/2020	Present

09/2005 → 03/2020

Ameriprise Financial Services, Inc.

Great Neck, NY
03/2020 → Present

Ameriprise Financial Services, Llc

Great Neck, NY

Other Businesses

Independent Insurance Brokering; Genworth; 01/03/2000; / MetLife; 01/01/2016; / Oxford Health Insurance; 01/01/2009; / Sun Life; 01/01/2009; / United Healthcare; 01/01/2009; .

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1998-08-26

S63 Uniform Securities Agent State Law Examination

1998-08-26

Other Names

Lauren Sue Rosenbergmoffitt

View on SEC IAPD