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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2012-03-12
TX RA APPROVED 2012-03-09
  • OH RA
    APPROVED
    Since 2012-03-12
  • TX RA
    APPROVED
    Since 2012-03-09

Branch Locations

3045 Newmark Dr, Miamisburg, OH 45342 • United States

Beavercrk Twp, OH • 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
Ameriprise Financial Services, Inc. Miamisburg OH 03/2012 03/2020
Ameriprise Financial Services, Llc Miamisburg OH 03/2020 Present
Previous Registrations
Other Businesses

Business Ownership; Lowe & Pfaff Associates LLC; Management of Ameriprise business expenses; LLC for Ameriprise business expenses; 3045 Newmark Drive, , Miamisburg, OH, 45342; Not Investment-Related; 03/09/2012; 1 to 9 hours per month; 0 during trading hours. Outside Employment; Lowe & Pfaff Associates LLC; Partner - Management of Ameriprise business expenses; ; 3045 Newmark Drive, , Miamisburg, OH, 45342; Not Investment-Related; 03/09/2012; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-01-16
  • S66 Uniform Combined State Law Examination
    2003-01-16
Other Names
  • Adam Pfaff

View on SEC IAPD

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