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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 2018-02-06
OH RA APPROVED 2012-01-30
  • TX RA
    APPROVED_RES
    Since 2018-02-06
  • OH RA
    APPROVED
    Since 2012-01-30

Branch Locations

11145 Reading Rd, Cincinnati, OH 45241 • United States

Cincinnati, OH • 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 No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Cincinnati OH 01/2012 03/2020
Ameriprise Financial Services, Llc Cincinnati OH 03/2020 Present
Previous Registrations
  • 2009-11-13 → 2011-03-21
    Loveland, OH
    Milford, OH
  • 2008-11-13 → 2009-11-13
    Natcity Investments, Inc.
    Loveland, OH
  • 2007-05-10 → 2008-09-25
    St Louis, MO
    Fairfield, OH
    Oxford, OH
Other Businesses

Board of Directors; Finneytown Elementary PTA; Treasurer; 8850 Winton Rd, , Cincinnati, OH, 45231; Not Investment-Related; 03/14/2024; 1 to 9 hours per month; 0 during trading hours / Finneytown Athletic Association; Treasurer; 8850 Winton Rd, , Cincinnati, OH, 45231; Not Investment-Related; 06/01/2024; 1 to 9 hours per month; 0 during trading hours. Outside Employment; Solomon Professional Services, LLC; Associate Financial Advisor - Associate Financial Advisor supporting the financial advisory practice of Heimbuch & Associates.; ; 11145 Reading Rd, , Cincinnati, OH, 45241; Investment-Related; 03/19/2021; 60 hours per month; 60 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-04-26
  • S66 Uniform Combined State Law Examination
    2007-04-26

View on SEC IAPD

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