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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NE RA APPROVED 2021-03-16
TX RA APPROVED_RES 2018-06-19
IA RA APPROVED 2008-12-24
  • NE RA
    APPROVED
    Since 2021-03-16
  • TX RA
    APPROVED_RES
    Since 2018-06-19
  • IA RA
    APPROVED
    Since 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

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 Storm Lake IA 05/2007 03/2020
Ameriprise Financial Services, Llc Spencer IA 03/2020 Present
Other Businesses

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.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-12-23
S63 Uniform Securities Agent State Law Examination 2008-10-18
  • S65 Uniform Investment Adviser Law Examination
    2008-12-23
  • S63 Uniform Securities Agent State Law Examination
    2008-10-18
Designations

View on SEC IAPD

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