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James D Mulvey

Ameriprise Financial Services, LLC

Lake Charles, LA

Lake Charles, LA

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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2015-07-23
TX RA APPROVED 2013-12-06
  • LA RA
    APPROVED
    Since 2015-07-23
  • TX RA
    APPROVED
    Since 2013-12-06

Branch Locations

4110 Lake St Ste 100, Lake Charles, LA 70605 • United States

Lake Charles, LA • 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. Lake Charles LA 12/2013 03/2020
Ameriprise Financial Services, Llc Lake Charles LA 03/2020 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-10-19
  • S66 Uniform Combined State Law Examination
    2009-10-19
Other Names
  • James Donovan Mulvey
  • James Mulvey
  • Donovan Mulvey

View on SEC IAPD

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J.P. MORGAN SECURITIES LLC · LAKE CHARLES, LA
PROSPERITY CAPITAL ADVISORS · Lake Charles, LA
EDWARD JONES · LAKE CHARLES, LA
STATE FARM INVESTMENT MANAGEMENT CORP. · Lake Charles, LA
LPL FINANCIAL LLC · LAKE CHARLES, LA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · LAKE CHARLES, LA
EAGLE STRATEGIES LLC · LAKE CHARLES, LA
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