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William Leonard Carl

Ameriprise Financial Services, LLC

Richmond, VA

Quinton, VA

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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 2018-01-25
VA RA APPROVED 2015-08-14
  • TX RA
    APPROVED_RES
    Since 2018-01-25
  • VA RA
    APPROVED
    Since 2015-08-14

Branch Locations

1021 E Cary St Ste 1001, Richmond, VA 23219-4051 • United States

Quinton, VA • 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. Richmond VA 04/2015 03/2020
Ameriprise Financial Services, Llc Richmond VA 03/2020 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-07-30
S63 Uniform Securities Agent State Law Examination 2013-12-17
  • S65 Uniform Investment Adviser Law Examination
    2015-07-30
  • S63 Uniform Securities Agent State Law Examination
    2013-12-17
Other Names
  • William Carl
  • William Leonard Crosbie Carl

View on SEC IAPD

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Other Offices

TAYLOR HOFFMAN CAPITAL MANAGEMENT · RICHMOND, VA
WEALTHCARE CAPITAL MANAGEMENT LLC · RICHMOND, VA
WEST TOWER GROUP, LLC · RICHMOND, VA
WELLS FARGO CLEARING SERVICES, LLC · RICHMOND, VA
WELLS FARGO CLEARING SERVICES, LLC · RICHMOND, VA
CETERA INVESTMENT ADVISERS LLC · RICHMOND, VA
UBS FINANCIAL SERVICES INC. · RICHMOND, VA
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