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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 2022-09-30
WI RA APPROVED 2011-12-23
  • TX RA
    APPROVED_RES
    Since 2022-09-30
  • WI RA
    APPROVED
    Since 2011-12-23

Branch Locations

1110 Fourier Dr Ste 110, Madison, WI 53717-1963 • United States

Verona, WI • 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. Madison WI 11/2011 03/2020
Ameriprise Financial Services, Llc Madison WI 03/2020 Present
Other Businesses

Business Ownership; SEW Operations LLC; Member; Pass Through Entity for business expenses; 1110 Fourier Dr.Suite 110 Madison, WI 53717, ,; Not Investment-Related; 06/01/2018; 1 to 9 hours per month; 1 to 9 during trading hours / N3735 Tipperary LLC; Member; Real Estate; 333 W Mifflin St, Unit 9080, Madison, WI, 53703; Not Investment-Related; 06/30/2025; 1 to 9 hours per month; 0 during trading hours / IWP Operations LLC; Owner; Manage Ameriprise Business; 202 W. Whispering Pines Way, , Verona, WI, 53593; Investment-Related; 01/01/2027; 0 hours per month; 0 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-12-22
  • S66 Uniform Combined State Law Examination
    2011-12-22
Other Names
  • Mike Gant
  • Michael Gant

View on SEC IAPD

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