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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2014-09-19
  • CT RA
    APPROVED
    Since 2014-09-19

Branch Locations

158 Main St Suite 1, Putnam, CT 06260-1964 • United States

Brooklyn, CT • 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
Ameriprise Financial Services, Inc. Putnam CT 09/2005 03/2020
Ameriprise Financial Services, Llc Putnam CT 03/2020 Present
Other Businesses

Real Estate Ownership; Commercial; 50 Pine Street, , Norwich, CT, 6360; Not Investment-Related; 03/15/2023. Business Ownership; JRB Consulting, LLC; This will be the legal entity that will conduct business for my Franchise, Brouillard & Associates.; Consulting; 89 Barrett Hill Rd., , Brooklyn, CT, 06234; Investment-Related; 09/21/2022; 60 hours per month; 60 during trading hours. Outside Employment; JRB Consulting, LLC; Owner - This will be the legal entity that will conduct business for my Franchise, Brouillard & Associates.; ; 89 Barrett Hill Rd., , Brooklyn, CT, 6234; Investment-Related; 09/21/2022; 60 hours per month; 60 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-12-23
  • S66 Uniform Combined State Law Examination
    2003-12-23

View on SEC IAPD

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