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Brooks Lee Staples

Ameriprise Financial Services, LLC

New Brighton, MN

Saint Paul, MN

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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 2017-03-07
MN RA APPROVED 2014-11-28
  • TX RA
    APPROVED_RES
    Since 2017-03-07
  • MN RA
    APPROVED
    Since 2014-11-28

Branch Locations

2451 15Th St Nw Ste A, New Brighton, MN 55112 • United States

Saint Paul, MN • United States

Disclosures

2 disclosure categories 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 Yes
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. New Brighton MN 11/2014 03/2020
Ameriprise Financial Services, Llc New Brighton MN 03/2020 Present
Previous Registrations
  • 2010-12-10 → 2014-12-01
    U.S. Bancorp Investments, Inc.
    Woodbury, MN
    Circle Pines, MN
    Saint Paul, MN
    Saint Paul, MN
    Saint Paul, MN
    West Saint Paul, MN
    Maplewood, MN
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-02-26
S63 Uniform Securities Agent State Law Examination 1999-07-31
  • S66 Uniform Combined State Law Examination
    2013-02-26
  • S63 Uniform Securities Agent State Law Examination
    1999-07-31
Other Names
  • Brooks Staples

View on SEC IAPD

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