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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2023-06-09
  • CO RA
    APPROVED
    Since 2023-06-09

Branch Locations

10151 Se Sunnyside Rd Ste 495, Clackamas, OR 97015-5705 • United States

Sandy, OR • 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
Stancorp Equities, Inc. Portland OR 05/2020 11/2021
Standard Insurance Company Portland OR 08/2018 05/2020
Standard Insurance Company Portland OR 04/2018 08/2018
Standard Insurance Company Portland OR 11/2016 04/2018
Wells Fargo Portland OR 03/2016 11/2016
Edward Jones St Louis MO 11/2021 06/2023
Ameriprise Financial Services, Llc Salem OR 06/2023 Present
  • 05/2020 → 11/2021
    Stancorp Equities, Inc.
    Portland, OR
  • 08/2018 → 05/2020
    Standard Insurance Company
    Portland, OR
  • 04/2018 → 08/2018
    Standard Insurance Company
    Portland, OR
  • 11/2016 → 04/2018
    Standard Insurance Company
    Portland, OR
  • 03/2016 → 11/2016
    Wells Fargo
    Portland, OR
  • 11/2021 → 06/2023
    St Louis, MO
  • 06/2023 → Present
    Salem, OR
Previous Registrations
  • 2022-01-26 → 2023-06-13
    Happy Valley, OR
    St Louis, MO
    Sandy, OR
Other Businesses

Business Ownership; Rathunas; Owner; Manage Ameriprise Business; 40309 Therse St, , Sandy, OR, 97055; Investment-Related; 08/08/2023; 1 to 9 hours per month; 1 to 9 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-01-25
S63 Uniform Securities Agent State Law Examination 2020-07-31
  • S66 Uniform Combined State Law Examination
    2022-01-25
  • S63 Uniform Securities Agent State Law Examination
    2020-07-31
Other Names
  • Stephen Mark Carbaugh

View on SEC IAPD

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