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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2025-02-07
RI RA APPROVED 2008-07-10
  • CT RA
    APPROVED
    Since 2025-02-07
  • RI RA
    APPROVED
    Since 2008-07-10

Branch Locations

730 Kingstown Rd Ste B-3, Wakefield, RI 02879-3011 • United States

Uncasville, CT • United States

Uncasville, CT • 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. Wakefield RI 04/2008 03/2020
Ameriprise Financial Services, Llc Wakefield RI 03/2020 Present
Other Businesses

Board of Directors; Fishermans Viability Trust; Board member; 301 Promenade St, , Providence, RI, 2908; Investment-Related; 05/27/2022; 1 to 9 hours per month; 0 during trading hours / Rhode Island Fishermen's Future Viability Trust 3 Vineyard Wind; Secretary; 23 Massapeag Pt Rd, , Uncasville, CT, 06382; Not Investment-Related; 02/13/2026; 10 to 19 hours per month; 1 to 9 during trading hours / Rhode Island Fishermen's Future Viabilty Trust 4 Sunrise Wind Project INC; Secretary; 23 Massapeag Pt Rd, , Uncasville, CT, 06382; Not Investment-Related; 02/13/2026; 1 to 9 hours per month; 1 to 9 during trading hours. Other Business Activities; Rhode Island Future Fishermans Viability Trust SOUTH FORK; Provide for relief and mitigation from damage or loss incurred by the local fishing community that is attributed to the windmills; 45 All American Way, , North Kingstown, RI, 02852; Not Investment-Related; 02/27/2024; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-05-14
  • S66 Uniform Combined State Law Examination
    2008-05-14
Other Names
  • Spencer J Seitz

View on SEC IAPD

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