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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2018-05-23
TX RA APPROVED_RES 2018-05-23
  • IA RA
    APPROVED
    Since 2018-05-23
  • TX RA
    APPROVED_RES
    Since 2018-05-23

Branch Locations

1005 Broadway St, Emmetsburg, IA 50536-0027 • United States

Manson, IA • 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
First Community Agency Services, Llc Rockwell City IA 03/2012 05/2018
Broker Dealer Financial Services Corp West Des Moines IA 01/2008 05/2018
Ameriprise Financial Services Inc Emmetsburg IA 05/2018 03/2020
Ameriprise Financial Services, Llc Emmetsburg IA 03/2020 Present
  • 03/2012 → 05/2018
    First Community Agency Services, Llc
    Rockwell City, IA
  • 01/2008 → 05/2018
    Broker Dealer Financial Services Corp
    West Des Moines, IA
  • 05/2018 → 03/2020
    Ameriprise Financial Services Inc
    Emmetsburg, IA
  • 03/2020 → Present
    Emmetsburg, IA
Previous Registrations
  • 2008-08-18 → 2018-05-14
    Investment Advisors Corp
    Rockwell City, IA
Other Businesses

Business Ownership; Harmony House, LLC; none; Partnership with family members that will hold commercial property.; 15389 Crane Street units 1-4, , Clear Lake, IA, 50428; Investment-Related; 10/28/2021; 0 hours per month; 0 during trading hours / Jones Tax Services, LLC; Owner of the business and operator.; Tax Preparation; 5117 Lakeside Lane, , Manson, IA, 50563; Not Investment-Related; 01/01/2019; 20 to 39 hours per month; 10 to 19 during trading hours. Board of Directors; Twin Lakes Sanitary Sewer District DBA Twin Lakes Utilities; Board Member; 7168 Twin Lakes Road, , Rockwell City, IA, 50579; Investment-Related; 01/02/2023; 1 to 9 hours per month; 0 during trading hours. Outside Employment; Jones Tax Services, LLC; owner - owner and operator; Tax Preparation; 5117 Lakeside Lane, , Manson, IA, 50563; Not Investment-Related; 01/01/2019; 20 to 39 hours per month; 10 to 19 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-08-15
  • S66 Uniform Combined State Law Examination
    2008-08-15

View on SEC IAPD

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