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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2020-10-26
TX RA APPROVED_RES 2020-10-26
  • MD RA
    APPROVED
    Since 2020-10-26
  • TX RA
    APPROVED_RES
    Since 2020-10-26

Branch Locations

300 Red Brook Blvd Ste 320, Owings Mills, MD 21117 • United States

Phoenix, MD • 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
Pruco Securities, Llc Hunt Valley MD 06/2003 10/2020
Prudential Insurance Company Of America Hunt Valley MD 06/2003 10/2020
Ameriprise Financial Services, Llc Owings Mills MD 10/2020 Present
Previous Registrations
  • 2004-07-15 → 2020-10-01
    Hunt Valley, MD
    North Bethesda, MD
    Bethesda, MD
    Hunt Valley, MD
    North Bethesda, MD
Other Businesses

Real Estate Ownership; Single Family; 1312 Race Street, , Baltimore, MD, 21230; Not Investment-Related; 06/01/2015. Business Ownership; Lynchburg Mobile Estates, LLC; Investor - no responsibilities in operations; Real Estate Holding Company; 206 COLLEGE STREET 1084, , Pineville, NC, 28134; Investment-Related; 10/14/2021; 0 hours per month; 0 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-09-30
  • S66 Uniform Combined State Law Examination
    2003-09-30

View on SEC IAPD

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