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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 2017-01-10
GA RA APPROVED 2003-09-19
  • TX RA
    APPROVED_RES
    Since 2017-01-10
  • GA RA
    APPROVED
    Since 2003-09-19

Branch Locations

345 Creekstone Ridge, Woodstock, GA 30188-3745 • United States

3475 Lenox Rd Ne Ste 600, Atlanta, GA 30326-3219 • United States

Canton, GA • 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Woodstock GA 09/2005 03/2020
Ameriprise Financial Services, Llc Woodstock GA 03/2020 Present
Other Businesses

Business Ownership; Mia Grace LLC; Owner for Ameriprise Practice; For Ameriprise Practice; 673 Gold Valley Pass, , Canton, GA, 30114; Not Investment-Related; 01/01/2021; 1 to 9 hours per month; 0 during trading hours / Levity Wins LLC; Owner; Manage Ameriprise Business; 673 Gold Valley Pass, , Canton, GA, 30114; Investment-Related; 09/18/2024; 1 to 9 hours per month; 0 during trading hours. Outside Employment; Levity Wins LLC; Financial Advisor; Manage advisory business; 673 Gold Valley Pass, , Canton, GA, 30114; Investment-Related; 09/18/2024; 40 to 59 hours per month; 60 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-01-10
  • S66 Uniform Combined State Law Examination
    2003-01-10
Designations

View on SEC IAPD

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