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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 2016-09-16
KY RA APPROVED 2003-09-16
  • TX RA
    APPROVED_RES
    Since 2016-09-16
  • KY RA
    APPROVED
    Since 2003-09-16

Branch Locations

12700 Townepark Way Ste 100, Louisville, KY 40243 • United States

Louisville, KY • 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. Louisville KY 06/2003 03/2020
Ameriprise Financial Services, Llc Louisville KY 03/2020 Present
Other Businesses

Business Ownership; PAS Financial Services; ; Practice Management; 2529 Broadmeade RdLouisville KY 40205, ,; Not Investment-Related; 09/16/2016; 1 to 9 hours per month; 0 during trading hours. Other Business Activities; Financial Peace University; People learning about Financial Savings; Southeast Christian Church929 Blankenbaker RdLouisville KY 40243, ,; ; 03/19/2017; 1 to 9 hours per month; 10 to 19 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-08-13
  • S66 Uniform Combined State Law Examination
    2003-08-13
Other Names
  • Robert Alton Smith
  • Robert Alton Smith
  • Pete Smith

View on SEC IAPD

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