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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2022-05-23
TX RA APPROVED_RES 2022-05-16
  • VA RA
    APPROVED
    Since 2022-05-23
  • TX RA
    APPROVED_RES
    Since 2022-05-16

Branch Locations

7500 Boulder View Dr, Richmond, VA 23225-4046 • United States

Richmond, VA • United States

Disclosures

3 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Cuna Brokerage Services, Inc. Waverly IA 07/2004 05/2022
Cuna Mutual Group Waverly IA 07/2004 05/2022
Ameriprise Financial Services, Llc Richmond VA 05/2022 Present
  • 07/2004 → 05/2022
    Cuna Brokerage Services, Inc.
    Waverly, IA
  • 07/2004 → 05/2022
    Cuna Mutual Group
    Waverly, IA
  • 05/2022 → Present
    Richmond, VA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-01-30
S63 Uniform Securities Agent State Law Examination 2000-07-19
  • S66 Uniform Combined State Law Examination
    2002-01-30
  • S63 Uniform Securities Agent State Law Examination
    2000-07-19
Other Names
  • Randolph J. Tate
  • Randolph J Tate

View on SEC IAPD

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