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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2011-02-14
  • WA RA
    APPROVED
    Since 2011-02-14

Branch Locations

126 Wells Ave S, Renton, WA 98057 • 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 No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Renton WA 10/2010 03/2020
Ameriprise Financial Services, Llc Renton WA 03/2020 Present
Previous Registrations
  • 2003-04-07 → 2010-04-30
    Avantax Advisory Services
    Bellevue, WA
Other Businesses

Business Ownership; WA Tax Office Inc.; Owner; Tax Preparation; 1380 112th Ave NE, Ste 200, Bellevue, WA, 98004; Not Investment-Related; 01/01/2024; 60 hours per month; 60 during trading hours. Board of Directors; Bulldog Club of America Charitable Fund Inc; President; 196563 E 1180 RD, , Elk City, OK, 73644; Not Investment-Related; 11/01/2025; 1 to 9 hours per month; 1 to 9 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-12-19
  • S66 Uniform Combined State Law Examination
    2002-12-19

View on SEC IAPD

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