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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 2014-05-16
  • NC RA
    APPROVED
    Since 2014-05-16

Branch Locations

317 Peachtree St, Murphy, NC 28906 • United States

Murphy, 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
Ameriprise Financial Services, Inc. Andrews NC 05/2014 03/2020
Ameriprise Financial Services, Llc Murphy NC 03/2020 Present
Previous Registrations
  • 2007-10-03 → 2014-05-19
    Andrews, NC
    St Louis, MO
Other Businesses

Fiduciary Activities. Board of Directors; Church Council; Church Council Member; 882 Main Street, , Andrews, NC, 28901; Not Investment-Related; 01/26/2025; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-09-27
  • S66 Uniform Combined State Law Examination
    2007-09-27
Other Names
  • Barbara Gayle Lay
  • Barbara G Horton

View on SEC IAPD

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