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Franci Rose Shields

Ameriprise Financial Services, LLC

Denver, CO

West Des Moines, IA

Omaha, NE

Denver, CO

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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2009-10-05
  • CO RA
    APPROVED
    Since 2009-10-05

Branch Locations

7979 E Tufts Ave Ste 715, Denver, CO 80237 • United States

1089 Jordan Creek Pkwy Ste 110, West Des Moines, IA 50266-5830 • United States

13710 Fnb Pkwy Ste 100, Omaha, NE 68154-5298 • United States

260 N Josephine St Ste 200, Denver, CO 80206 • 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. Boulder CO 10/2009 03/2020
Ameriprise Financial Services, Inc. Boulder CO 10/2009 03/2020
Ameriprise Financial Services, Llc Boulder CO 03/2020 Present
  • 10/2009 → 03/2020
    Ameriprise Financial Services, Inc.
    Boulder, CO
  • 10/2009 → 03/2020
    Ameriprise Financial Services, Inc.
    Boulder, CO
  • 03/2020 → Present
    Ameriprise Financial Services, Llc
    Boulder, CO
Previous Registrations
  • 2008-11-11 → 2009-10-05
    Ameriprise Advisor Services, Inc.
    Boulder, CO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-11-05
  • S66 Uniform Combined State Law Examination
    2008-11-05
Other Names
  • Francine Rose Stevenson
  • Franci Rose Hoxie

View on SEC IAPD

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DREAM U.S. MANAGER LLC · DENVER, CO
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