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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-04-16 |
| TX | RA | APPROVED | 2018-01-02 |
| CT | RA | APPROVED | 2017-03-20 |
Branch Locations
90 Oxford Road, Oxford, CT 06478 • United States
440 Mamaroneck Ave Ste 401, Harrison, NY 10528-2418 • United States
Middletown, CT • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Oxford | CT | 02/2012 | 03/2020 |
| Ameriprise Financial Services, Llc | Oxford | CT | 03/2020 | Present |
Outside Employment; Nancy S. Daoud & Associates, LLC; Financial Advisor - ADVISOR; ; 90 Oxford Road, , Oxford, CT, 6478; Not Investment-Related; 07/01/2020; 1 to 9 hours per month; 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-03-01 |
| S63 | Uniform Securities Agent State Law Examination | 2017-02-17 |
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