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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2017-12-05
  • NJ RA
    APPROVED
    Since 2017-12-05

Branch Locations

350 Passaic Ave Ste 202, Fairfield, NJ 07004-3561 • United States

Wayne, NJ • 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
Rbc Capital Markets Corporation West Paterson NJ 03/2008 11/2017
Ameriprise Financial Advisors Inc. Fairfield NJ 11/2017 03/2020
Ameriprise Financial Services, Llc Fairfield NJ 03/2020 Present
  • 03/2008 → 11/2017
    Rbc Capital Markets Corporation
    West Paterson, NJ
  • 11/2017 → 03/2020
    Ameriprise Financial Advisors Inc.
    Fairfield, NJ
  • 03/2020 → Present
    Fairfield, NJ
Previous Registrations
Other Businesses

Board of Directors; Breakfast Committee; Associate Member; 192 Market St, , Elmwood Park, NJ, 07407; Not Investment-Related; 10/27/2023; 0 hours per month; 0 during trading hours. Outside Employment; PCA Management Corp; Investment Specialist - Manage Portfolios for office; ; 350 Passaic Ave Ste 202, , Fairfield, NJ, 7004; Not Investment-Related; 12/04/2017; 40 to 59 hours per month; 60 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-05-25
S63 Uniform Securities Agent State Law Examination 2000-06-22
  • S66 Uniform Combined State Law Examination
    2004-05-25
  • S63 Uniform Securities Agent State Law Examination
    2000-06-22

View on SEC IAPD

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