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Thomas George Duval

Ameriprise Financial Services, LLC

Hingham, MA

Santa Barbara, CA

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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-06-04
TX RA APPROVED_RES 2016-01-11
  • CA RA
    APPROVED
    Since 2024-06-04
  • TX RA
    APPROVED_RES
    Since 2016-01-11

Branch Locations

18 Shipyard Dr Unit 2A, Hingham, MA 02043 • United States

414 Olive St, Santa Barbara, CA 93101 • 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. Boston MA 07/2007 03/2020
Ameriprise Financial Services, Llc Hingham MA 03/2020 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-09-14
  • S66 Uniform Combined State Law Examination
    2007-09-14
Other Names
  • Tom Duval
  • Thomas George Duval

View on SEC IAPD

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Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · HINGHAM, MA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · HINGHAM, MA
ONE CHARLES PRIVATE WEALTH · HINGHAM, MA
PATRIOT MULLARE ASSOCIATES, INC · HINGHAM, MA
ALLEGIANCE FINANCIAL SERVICES, INC. · HINGHAM, MA
AMERIPRISE FINANCIAL SERVICES, LLC · Hingham, MA
GLOBAL VIEW CAPITAL MANAGEMENT LLC · HINGHAM, MA
RAYMOND JAMES & ASSOCIATES, INC. · Hingham, MA

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