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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2002-09-05
  • IN RA
    APPROVED
    Since 2002-09-05

Branch Locations

4440 Edison Lakes Pkwy Ste 200, Mishawaka, IN 46545-1441 • United States

Elkhart, IN • United States

Disclosures

1 disclosure category 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 No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Mishawaka IN 09/2005 03/2020
Ameriprise Financial Services, Llc Mishawaka IN 03/2020 Present
Other Businesses

Business Ownership; Summit Resources,LLC; ; Pooling of funds to share office expense.; 4440 Edison Lakes ParkwaySuite 200Mishawaka, IN 46545, ,; Not Investment-Related; 09/01/2014; 1 to 9 hours per month; 1 to 9 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-09-04
  • S66 Uniform Combined State Law Examination
    2002-09-04

View on SEC IAPD

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