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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 2019-09-30
  • TX RA
    APPROVED
    Since 2019-09-30

Branch Locations

3131 Bell St Ste 101, Amarillo, TX 79106 • United States

Amarillo, TX • 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Raymond James Financial Services Amarillo TX 02/2013 09/2019
Raymond James Financial Services Advisors Inc. Amarillo TX 02/2013 09/2019
Rsmb,Llc Amarillo TX 02/2013 09/2019
Ameriprise Financial Services, Inc. Amarillo TX 09/2019 03/2020
Ameriprise Financial Services, Llc Amarillo TX 03/2020 Present
Previous Registrations
Other Businesses

Outside Employment; Plexus Worldwide; Ambassador - I signed up with Plexus to buy my vitamins and supplements wholesale. No responsibilities. If I buy for my family, I might get a little money back on a 1099.; ; 1112 Euclid, , Panhandle, TX, 79068; Not Investment-Related; 01/05/2018; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-10-03
  • S66 Uniform Combined State Law Examination
    2007-10-03
Other Names
  • Dena Bingham
  • Dena Rattan
  • Dena Kay Rattan
  • Dena Kay Rattan

View on SEC IAPD

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