Nicholas Daniel Roth

Current Employers

Ameriprise Financial Services, Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2023-01-30
WI	RA	APPROVED	2020-02-28

TX RA
APPROVED_RES

Since 2023-01-30
WI RA
APPROVED

Since 2020-02-28

Branch Locations

3121 Calumet Ave, Manitowoc, WI 54220 • United States

721 Main Ave, De Pere, WI 54115 • United States

Denmark, WI • 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

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Depere	WI	06/2013	03/2020
Ameriprise Financial Services, Llc	Manitowoc	WI	03/2020	Present

06/2013 → 03/2020

Ameriprise Financial Services, Inc.

Depere, WI
03/2020 → Present

Ameriprise Financial Services, Llc

Manitowoc, WI

Other Businesses

Real Estate Ownership; Commercial; 3121 Calumet Avenue, , Manitowoc, WI, 54220; Not Investment-Related; 03/09/2022. Business Ownership; Roth Financial Group; Owner; Manage Ameriprise Business; 3121 Calumet Avenue, , Manitowoc, WI, 54220; Investment-Related; 12/15/2021; 60 hours per month; 60 during trading hours. Outside Employment; Roth Financial Group LLC; Owner; Manage advisory business; 3121 Calument Avenue, , Manitowoc, WI, 54220; Investment-Related; 02/01/2022; 60 hours per month; 60 during trading hours.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2019-11-09

S66 Uniform Combined State Law Examination

2019-11-09