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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2013-11-26
TX RA APPROVED_RES 2007-10-23
  • MN RA
    APPROVED
    Since 2013-11-26
  • TX RA
    APPROVED_RES
    Since 2007-10-23

Branch Locations

8646 Eagle Creek Cir Ste 108, Savage, MN 55378-1572 • United States

Fate, 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 Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Edina MN 01/2005 03/2020
Ameriprise Financial Services, Llc Savage MN 03/2020 Present
Other Businesses

Business Ownership; Braaten Enterprises; Oversee any business operations, investments and opportunities.; Marketing/Brand Ambassador: - Act as a brand ambassador for companies with exception products and/or environmental and social benefits, for example: "Fahlo" (formerly Wildlife Collections), they make bracelets and other items which a portion of every sale is donated to help save wildlife through non-profit partners. "4 Ocean", they sell multiple goods where a portion of profits are used to help clean the oceans.; 328 Phillips Ct, , Fate, TX, 75087; Not Investment-Related; 10/19/2021; 1 to 9 hours per month; 0 during trading hours. Board of Directors; Rockwall Noon Rotary Board of Directors; Youth Services Chairperson; 408 S Goliad St, , Rockwall, TX, 75087; Not Investment-Related; 07/01/2023; 1 to 9 hours per month; 1 to 9 during trading hours. Other Business Activities; Holy Trinity by the Lake Episcopal Church; Help review and adhere to the Endowment Fund Enabling Resolution, monitor the overall investment allocation of the fund, calculate the annual disbursement options and facilitate potential future gifted funds.; 1524 Smirl Dr., , Rockwall, TX, 75032; Not Investment-Related; 03/01/2022; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-04-17
  • S66 Uniform Combined State Law Examination
    2003-04-17
Other Names
  • James Braaten

View on SEC IAPD

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