Douglas John Bock

Current Employers

Ameriprise Financial Services, Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2022-04-22

TX RA
APPROVED

Since 2022-04-22

Branch Locations

1 Ikea-Rbfcu Pkwy, Live Oak, TX 78233-2792 • United States

San Antonio, TX • 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

Organization	City	State	From	To
Edward Jones	St Louis	MO	08/2016	04/2022
Ameriprise Financial Services, Llc	Live Oak	TX	04/2022	Present

08/2016 → 04/2022

Edward Jones

St Louis, MO
04/2022 → Present

Ameriprise Financial Services, Llc

Live Oak, TX

Previous Registrations

2016-10-06 → 2022-04-25

Edward Jones

San Antonio, TX

St Louis, MO

San Antonio, TX

San Antonio, TX

Other Businesses

Independent Insurance Brokering; American General; 01/17/2023; Term Life. Outside Employment; Randolph Brooks Federal Credit Union; Financial Advisor - Advise members to help them achieve their financial goals; buy, sell investments.; ; 1 IKEA-RBFCU PKWY, , San Antonio, TX, 78233; Investment-Related; 04/22/2022; 60 hours per month; 60 during trading hours.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2016-09-24

S66 Uniform Combined State Law Examination

2016-09-24

Other Names

Douglas J Bock
Doug John Bock
Doug J Bock
Doug Bock

View on SEC IAPD