Xavier Adriel Allen

Current Employers

Ameriprise Financial Services, Llc

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2023-11-13

NY RA
APPROVED

Since 2023-11-13

Branch Locations

6900 Jericho Tpke Ste 201, Syosset, NY 11791 • United States

Levittown, NY • United States

Disclosures

2 disclosure categories 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 Yes
Civil judicial No
Bond No
Judgment / lien Yes
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Ameriprise Financial Services, Llc	Syosset	NY	09/2015	Present

09/2015 → Present

Ameriprise Financial Services, Llc

Syosset, NY

Previous Registrations

2014-08-08 → 2015-08-14

Td Ameritrade, Inc.

Manhasset, NY
2014-08-08 → 2015-08-14

Td Ameritrade Investment Management, Llc

Great Neck, NY
2007-08-03 → 2009-01-23

Hornor, Townsend & Kent, Llc

New York, NY
2007-05-01 → 2007-08-13

Equitable Advisors, Llc

Melville, NY

Other Businesses

Outside Employment; Resource Management Partners; AFA - meeting with clients.; Working as AFA for an independent contractor.; 6900 Jericho Tpke, Suite 201, Syosset, NY, 11756; Investment-Related; 06/01/2022; 40 to 59 hours per month; 60 during trading hours.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2014-08-05

S66 Uniform Combined State Law Examination

2014-08-05

Other Names

Xavier Allen

View on SEC IAPD