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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 2021-12-01
  • TX RA
    APPROVED
    Since 2021-12-01

Branch Locations

2500 E Broad St Ste 100, Mansfield, TX 76063-4182 • United States

5809 Wesley St, Greenville, TX 75402-8974 • United States

Fairview, TX • 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
Lpl Financial Llc Greenville TX 01/2008 12/2021
American National Bank Of Texas Rowlett TX 01/2008 12/2021
Ameriprise Financial Services, Llc Greenville TX 12/2021 Present
Previous Registrations
  • 2021-10-07 → 2021-12-03
    Greenville, TX
  • 2008-01-17 → 2021-10-07
    Greenville, TX
    Forney, TX
    Rowlett, TX
    Rowlett, TX
    Rockwall, TX
    Rowlett, TX
    Royse City, TX
    Royse City, TX
  • 2005-07-06 → 2008-01-15
    Chase Investment Services Corp.
    Greenville, TX
    Greenville, TX
  • 2005-02-25 → 2005-07-06
    Banc One Securities Corporation
    Greenville, TX
  • 2003-03-13 → 2005-03-01
    Richardson, TX
Other Businesses

Outside Employment; American National Bank of Texas; Vice President - Sr. Financial Advisor; ; 102 West Moore Street, , Terrell, TX, 75160; Investment-Related; 01/14/2008; 40 to 59 hours per month; 40 to 59 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-03-11
  • S66 Uniform Combined State Law Examination
    2003-03-11
Other Names
  • Daniel W Finch
  • Dan Wayne Finch
  • Dan Finch

View on SEC IAPD

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