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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 2019-04-23
FL RA APPROVED 2014-03-12
  • TX RA
    APPROVED_RES
    Since 2019-04-23
  • FL RA
    APPROVED
    Since 2014-03-12

Branch Locations

111 N Pine Island Rd Ste 201-B, Plantation, FL 33324-1836 • United States

Cooper City, FL • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Plantation FL 05/2013 03/2020
Ameriprise Financial Services, Llc Plantation FL 03/2020 Present
Previous Registrations
Other Businesses

Outside Employment; RLW Public Relations, Inc.; Supervisor - Manage operational tasks of practice. Manage, supervise and train staff on administrative tasks and marketing efforts.; ; 111 N. Pine Island Road, Ste 201-B, , Plantation, FL, 33324; Not Investment-Related; 04/02/2018; 60 hours per month; 60 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-02-10
  • S66 Uniform Combined State Law Examination
    2005-02-10
Other Names
  • Regina Louise Vesci

View on SEC IAPD

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