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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2018-04-04
  • IL RA
    APPROVED
    Since 2018-04-04

Branch Locations

303 E Wacker Dr Ste 1575, Chicago, IL 60601 • United States

Chicago, IL • 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. Chicago IL 01/2015 03/2020
Miami University Oxford OH 08/2013 Present
Ameriprise Financial Services, Llc Chicago IL 03/2020 Present
  • 01/2015 → 03/2020
    Ameriprise Financial Services, Inc.
    Chicago, IL
  • 08/2013 → Present
    Miami University
    Oxford, OH
  • 03/2020 → Present
    Chicago, IL
Other Businesses

Business Ownership; Sim Productions LLC; manage creation of output, marketing of output, and attending to requirements set-froth by government; Music Production; 4527 N Forestview Ave, , Chicago, IL, 60656; Not Investment-Related; 10/02/2020; 20 to 39 hours per month; 0 during trading hours. Outside Employment; Blue Balloons LLC; Associate Financial Adviso - Financial Advisor Responsibilities as apart of job duties with the Ameriprise Financial Practice; ; 303 E Wacker Dr. Ste. 1575, , Chicago, IL, 60601; Investment-Related; 11/09/2020; 60 hours per month; 60 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-01-20
  • S66 Uniform Combined State Law Examination
    2018-01-20
Other Names
  • Thomas Gallo

View on SEC IAPD

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