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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NE RA APPROVED 2012-09-07
  • NE RA
    APPROVED
    Since 2012-09-07

Branch Locations

212 Main St, Wayne, NE 68787 • 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Wayne NE 08/2012 03/2020
Ameriprise Financial Services, Llc Wayne NE 03/2020 Present
Previous Registrations
  • 2012-06-28 → 2012-07-06
    Waddell & Reed
    Savage, MN
Other Businesses

Business Ownership; Davi Ginger Enterprise LTD; Incorporator of family S-corp; S-corporation created for personal use; 905 Adan Dr, , Wayne, NE, 68787; Not Investment-Related; 02/20/2023; 0 hours per month; 0 during trading hours. Board of Directors; Wayne Community Schools; Vice-president; 611 W 7th Street Wayne, NE 68787, ,; Not Investment-Related; 01/14/2026; 1 to 9 hours per month; 0 during trading hours. Other Business Activities; Committee Member; Member of sub committee of the local economic development office.; 108 W 3rd St, , Wayne, NE, 68787; Not Investment-Related; 03/10/2026; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-06-22
  • S66 Uniform Combined State Law Examination
    2012-06-22

View on SEC IAPD

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