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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NE | RA | APPROVED | 2021-03-16 |
| TX | RA | APPROVED_RES | 2018-06-19 |
| IA | RA | APPROVED | 2008-12-24 |
Branch Locations
112 N 2Nd St, Cherokee, IA 51012-1832 • United States
218 Oakland Ave, Oakland, NE 68045 • United States
Spencer, IA • United States
116 W 8Th St, Spencer, IA 51301 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services Inc | Storm Lake | IA | 05/2007 | 03/2020 |
| Ameriprise Financial Services, Llc | Spencer | IA | 03/2020 | Present |
Real Estate Ownership; Commercial; 112 N 2nd StCherokee, IA 51012, ,; Not Investment-Related; 11/01/2013. Business Ownership; Spielman LLC; ; Used to pay business Expenses and Employees; 112 N 2nd StCherokee IA 51012, ,; Not Investment-Related; 07/01/2017; 0 hours per month; 0 during trading hours / Paxman Inc; Owner/Employee; More Liability protection. Better way to separate expenses to make for easier accounting.; 112 N 2nd St, , Cherokee, IA, 51012-1832; Not Investment-Related; 07/05/2019; 1 to 9 hours per month; 0 during trading hours / Palm Properties Inc; Owner; Single Member LLC created for insurance purposes.; 2760 230th Ave, , Spencer, IA, 51301; Not Investment-Related; 11/01/2013; 0 hours per month; 0 during trading hours. Board of Directors; Sacred Heart School/ Parish; Endowment Commitee member; 1111 4th ave, , Spencer, IA, 51301; Investment-Related; 02/21/2023; 1 to 9 hours per month; 0 during trading hours / Spencer Youth Baseball Softball Association; Board Member; P.O. Box 262, , spencer, IA, 51301; Not Investment-Related; 12/04/2024; 1 to 9 hours per month; 0 during trading hours / Sacred Heart School Board; Secretary; 1111 4th Ave W, , Spencer, IA, 51301; Not Investment-Related; 09/22/2022; 1 to 9 hours per month; 0 during trading hours. Other Business Activities; Sacred Heart School; finance committee member for the school; 1111 4th ave west, , spencer, IA, 51301; Investment-Related; 08/11/2022; 1 to 9 hours per month; 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-12-23 |
| S63 | Uniform Securities Agent State Law Examination | 2008-10-18 |
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