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Marcy Pamela Rose

Ameriprise Financial Services, LLC

New York, NY

Brooklyn, NY

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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-16
TX RA APPROVED 2018-07-06
  • NY RA
    APPROVED
    Since 2021-04-16
  • TX RA
    APPROVED
    Since 2018-07-06

Branch Locations

530 5Th Ave 10Th Floor, New York, NY 10036 • United States

Brooklyn, 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
OrganizationCityStateFromTo
Morgan Stanley Smith Barney New York NY 06/2009 07/2018
Morgan Stanley Private Bank, National Association New York NY 01/2015 07/2018
Ameriprise Financial Services Inc New Yyork NY 07/2018 03/2020
Ameriprise Financial Services, Llc New York NY 03/2020 Present
  • 06/2009 → 07/2018
    Morgan Stanley Smith Barney
    New York, NY
  • 01/2015 → 07/2018
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 07/2018 → 03/2020
    Ameriprise Financial Services Inc
    New Yyork, NY
  • 03/2020 → Present
    Ameriprise Financial Services, Llc
    New York, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-05-17
  • S66 Uniform Combined State Law Examination
    2001-05-17
Other Names
  • Marcy Pamela Rosenbaum
  • Marcy Pamela Rose
  • Marcy Pamela Rosenbaum
  • Marcy P Rose

View on SEC IAPD

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