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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2025-10-30
RI RA APPROVED 2012-09-28
  • TX RA
    APPROVED_RES
    Since 2025-10-30
  • RI RA
    APPROVED
    Since 2012-09-28

Branch Locations

275 Martine St Ste 302, Fall River, MA 02723 • United States

Bristol, RI • 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. Fall River MA 09/2005 03/2020
Ameriprise Financial Services, Llc Fall River MA 03/2020 Present
Other Businesses

Other Business Activities; Rental Property / duplex; I am requesting to update my OBA from a temporary landlord for the second floor unit of my home from temporary to permanent until further notice.; 15 Pleasant St Pleasant St Bristol, RI 02809, ,; Not Investment-Related; 02/01/2017; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-09-27
S66 Uniform Combined State Law Examination 2004-12-28
  • S65 Uniform Investment Adviser Law Examination
    2012-09-27
  • S66 Uniform Combined State Law Examination
    2004-12-28

View on SEC IAPD

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