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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 2014-01-06
  • MN RA
    APPROVED
    Since 2014-01-06

Branch Locations

901 3Rd Ave S, Minneapolis, MN 55402-3367 • United States

Ocala, FL • 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. Minneapolis MN 09/2005 03/2020
Ameriprise Financial Services, Llc Minneapolis MN 03/2020 Present
Other Businesses

NAME OF BUSINESS: MUSICAN, PROMOTER; TYPE OF BUSINESS:SMALL BUSINESS (E.G. DAYCARE OR FAMILY BUSINESS OR DESIGN), BASS PLAYER FOR HIRE, ALSO CREATE CONCEPT SHOWS AND EXCUCUTE SAME ; NOT INVESTMENT RELATED;OWNER/PROPRIETOR; HRS/MONTH: 20 - 40 ; INC: UP TO $10000;/ NAME OF BUSINESS:REVEREND HEALER ; TYPE OF BUSINESS:OTHER, CHURCH; NOT INVESTMENT RELATED;OTHER, REVEREND; HRS/MONTH: 0 - 20 ; INC: UP TO $10000;---- Name of Activity: Rental Property; Date Activity Started/Modified/Ended: 9/1/1990; Type of Activity: Investment Real Estate; Role/Relationship: Owner/ Proprietor; Responsibilities: Lease homes and maintenence - Landlord duties.; Total Hours Per Month: 0 - 20; Total Hours Per Month During Trading Hours: 0 - 20; Does this activity include providing investment advice, conducting securities trading or managing the assets of others? No; --- END --- Name of Activity: Training Consultant for New Sapience; Date Activity Started/Modified/Ended: 5/5/2024; Type of Activity: Small Business; Role/Relationship: Other - Consultant; Responsibilities: The Training will be with the interns and employees of this small business as they are brought on to the company.; Total Hours Per Month: 41 - 60; Total Hours Per Month During Trading Hours: 0 - 20; Does this activity include providing investment advice, conducting securities trading or managing the assets of others? No; --- END ---

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-06-04
  • S66 Uniform Combined State Law Examination
    2004-06-04
Other Names
  • Bill Baker
  • Butch Baker

View on SEC IAPD

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