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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2004-09-24
  • NC RA
    APPROVED
    Since 2004-09-24

Branch Locations

401 N Edgeworth St Ste A, Greensboro, NC 27401 • United States

Greensboro, NC • 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. High Point NC 06/2004 03/2020
Ameriprise Financial Services, Llc Greensboro NC 03/2020 Present
Other Businesses

Business Ownership; The Gunter Group Inc.; Serve as the one and only person in the S-Corp. The Gunter group is being established as part of a new teaming arrangement I have entered into with fellow Ameriprise AFG advisor Doug Smith (Edgeworth Capital). My responsibilities will be extremely limited and the most basic, S-corp is only being established as part of the new teaming arragement.; Business is an S-Corp. Created for tax purposes related to new teaming arrangement.; 1801 Tiffany Place, , Greensboro, NC, 27408; Investment-Related; 06/15/2022; 1 to 9 hours per month; 0 during trading hours. Outside Employment; The Gunter Group Inc.; President - Serve as the one and only person in the S-Corp. The Gunter group is being established as part of a new teaming arrangement I have entered into with fellow Ameriprise AFG advisor Doug Smith (Edgeworth Capital). My responsibilities will be extremely limited and the most basic, S-corp is only being established as part of the new teaming arragement.; ; 1801 Tiffany Place, , Greensboro, NC, 27408; Investment-Related; 06/15/2022; 1 to 9 hours per month; 0 during trading hours. Other Business Activities; Team Treffrey Incorporated; I'm listed as the secretary on my wife's self employed/incorporated health coaching/dietician business. North Carolina requires an Owner/President and a secretary on articles of incorporation. I am not and will not ever be a compensated employee of "Team Treffrey Inc."; 1801 Tiffany Place, , Greensboro, NC, 27408; Not Investment-Related; 04/27/2021; 0 hours per month; 0 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-09-23
  • S66 Uniform Combined State Law Examination
    2004-09-23

View on SEC IAPD

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