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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 2014-05-06
UT RA APPROVED 2005-01-06
  • TX RA
    APPROVED_RES
    Since 2014-05-06
  • UT RA
    APPROVED
    Since 2005-01-06

Branch Locations

11681 S 700 E Ste 100, Draper, UT 84020 • United States

Herriman, UT • 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
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. South Jordan UT 09/2005 03/2020
Ameriprise Financial Services, Llc Draper UT 03/2020 Present
Other Businesses

Business Ownership; New Wave Records; Owner / Manager of online CD and Record sales; Online CD and Record Store and Concert promotion; 5857 W Suffolk View Ln, , Herriman, UT, 84096; Not Investment-Related; 06/01/1995; 10 to 19 hours per month; 0 during trading hours / New Wave Marketing; Owner and President; S Corp set up to manage Business expenses and Real Estate expenses for my Ameriprise Financial Planning Practice. May also assign Advisory Fees or Wrap Fees to New Wave Marketing for Non-Securities related Business activities. Also, owner and manager of my other business my online record store New Wave Records. New Wave Records is a DBA of New Wave Marketing.; 5857 W Suffolk View Ln, , Herriman, UT, 84096; Not Investment-Related; 12/09/2010; 10 to 19 hours per month; 0 during trading hours. Other Business Activities; Barbecue catering; As part of my slcfood business I will be also selling BBQ primarily on weekends at Farmers Markets, County Fairs, at competitions, and catering small events.; 5857 W Suffolk View Ln, , Herriman, UT, 84096; Not Investment-Related; 03/01/2022; 1 to 9 hours per month; 0 during trading hours / Slcfood; Slcfood is an Instagram page where I post pictures of items I cook and also review restaurants and food related items. I may receive cash or non-cash compensation for reviewing restaurants or food related items.; 5857 W Suffolk View Ln, , Herriman, UT, 84096; Not Investment-Related; 05/13/2019; 1 to 9 hours per month; 1 to 9 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-01-03
  • S66 Uniform Combined State Law Examination
    2005-01-03

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