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Erin Marie Waller

Ameriprise Financial Services, LLC

Charlotte, NC

Mooresville, NC

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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 2022-06-06
TX RA APPROVED 2022-06-03
  • NC RA
    APPROVED
    Since 2022-06-06
  • TX RA
    APPROVED
    Since 2022-06-03

Branch Locations

4521 Sharon Rd Ste 300, Charlotte, NC 28211 • United States

Mooresville, NC • 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
J.P. Morgan Securities Llc Broomfield CO 11/2010 06/2022
Ameriprise Financial Services, Llc Charlotte NC 06/2022 Present
Previous Registrations
  • 2012-10-01 → 2022-06-06
    J.P. Morgan Securities Llc
    Thornton, CO
    Broomfield, CO
    Commerce City, CO
    Westminster, CO
    Denver, CO
  • 2010-12-17 → 2012-10-01
    Chase Investment Services Corp.
    Westminster, CO
    Broomfield, CO
    Denver, CO
    Commerce City, CO
    Denver, CO
    Thornton, CO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-12-16
  • S66 Uniform Combined State Law Examination
    2010-12-16
Other Names
  • Erin Marie Moore
  • Erin Marie Griffin
  • Erin Marie Waller

View on SEC IAPD

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Other Offices

FIRST TRYON ADVISORS · CHARLOTTE, NC
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ARKADIOS WEALTH ADVISORS · Charlotte, NC
MODERA WEALTH MANAGEMENT, LLC · CHARLOTTE, NC
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