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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2017-11-13
  • MN RA
    APPROVED
    Since 2017-11-13

Branch Locations

901 3Rd Ave S, Minneapolis, MN 55402-3367 • United States

Lakeville, MN • 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
Rbc Capital Markets, Llc Minneapolis MN 01/2008 10/2017
American Enterprise Investment Services Inc Minneapolis MN 10/2017 06/2023
  • 01/2008 → 10/2017
    Minneapolis, MN
  • 10/2017 → 06/2023
    American Enterprise Investment Services Inc
    Minneapolis, MN
Previous Registrations
Other Businesses

Name of Activity: WALLIN EDUCATION PARTNERS; Date Activity Started/Modified/Ended: 4/23/2019; Type of Activity: Non-Profit - ; Role/Relationship: Board Of Directors; Responsibilities: VP OUTREACH-STRATEGICALLY INCREASE ALUMNI AND CURRENT SCHOLARS ENGAGEMENT & MONETARY CONTRIBUTIONS TO THE WALLING EDUCATION PARTNERS PROGRAM; Income Per Year: NO INCOME; Total Hours Per Month: 0 - 20; Total Hours Per Month During Trading Hours: 0 - 20; Does this activity include providing investment advice, conducting securities trading or managing the assets of others? No - ; --- END --- Name of Activity: NorthStar Education Finance, Inc. (NEF); Date Activity Started/Modified/Ended: 4/10/2023; Type of Activity: Non-Profit; Role/Relationship: Board Of Directors; Responsibilities: Associate Audit Committee Board Member - Monitor and update Northstar's accounting and financial reporting.; Total Hours Per Month: 0 - 20; Total Hours Per Month During Trading Hours: 0 - 20; Does this activity include providing investment advice, conducting securities trading or managing the assets of others? No; --- END --- Name of Activity: Not Half Bad Bakehouse ?; Date Activity Started/Modified/Ended: 1/24/2022; Type of Activity: Retail Sales; Role/Relationship: Partner; Responsibilities: Baking and Cleaning; Total Hours Per Month: 21 - 40; Total Hours Per Month During Trading Hours: 0 - 20; Does this activity include providing investment advice, conducting securities trading or managing the assets of others? No; --- END ---

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-07-02
  • S65 Uniform Investment Adviser Law Examination
    2013-07-02
Other Names
  • Paul Sankara Maniffa

View on SEC IAPD

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