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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-05-26
PA RA APPROVED 2003-10-30
  • TX RA
    APPROVED_RES
    Since 2023-05-26
  • PA RA
    APPROVED
    Since 2003-10-30

Branch Locations

610 Freedom Business Ctr Dr Ste 230, King Of Prussia, PA 19406-1329 • United States

Collegeville, PA • United States

Disclosures

1 disclosure category 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 No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. King Of Prussia PA 09/2005 03/2020
Ameriprise Financial Services, Llc King Of Prussia PA 03/2020 Present
Other Businesses

Real Estate Ownership; Multi-Family; 917 2nd Street, , Ocean City, NJ, 08226; Not Investment-Related; 05/22/2021. Business Ownership; KSP MLS LLC; Member-Payroll and benefits for team members.; Administrative Services; 1000 Germantown Pike Suite A-1, , Plymouth Meeting, PA, 19462; Investment-Related; 07/08/2022; 1 to 9 hours per month; 0 during trading hours / MLS JML LLC; I am the sole member. I take care of invoices for the office and meet with the accountant.; Administrative Services; 610 Freedom Bus Ctr Drive Suite 230, , King of Prussia, PA, 19406; Investment-Related; 12/22/2022; 1 to 9 hours per month; 0 during trading hours / JTS225 Realty LLC; Co-owner; Real Estate; 225 S Hanover St, , Pottstown, PA, 19465; Not Investment-Related; 06/18/2025; 1 to 9 hours per month; 0 during trading hours. Board of Directors; The Wyndcroft School; Board Member/Trustee; 1395 Wilson St Pottstown, PA 19464, ,; Not Investment-Related; 09/24/2018; 1 to 9 hours per month; 1 to 9 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-10-29
S63 Uniform Securities Agent State Law Examination 2000-08-03
  • S66 Uniform Combined State Law Examination
    2003-10-29
  • S63 Uniform Securities Agent State Law Examination
    2000-08-03

View on SEC IAPD

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