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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2026-03-12
  • NY RA
    APPROVED
    Since 2026-03-12

Branch Locations

80 Wolf Rd First Floor, Albany, NY 12205-2608 • 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
Hilton Albany Albany NY 01/2016 09/2017
Tri-City Hotels Management Albany NY 09/2017 04/2018
Mazconnect New Rochelle NY 04/2018 01/2019
Onemain Financial Rensselaer NY 01/2019 12/2020
New York Life Insurance Co Latham NY 07/2020 09/2023
Nylife Securities Llc Latham NY 04/2022 09/2023
The Prudential Insurance Co. Of America Syracuse NY 02/2024 06/2024
Pruco Securities, Llc Syracuse NY 02/2024 06/2024
Albany Financial Group Albany NY 10/2023 02/2024
Etico Partners, Llc Saratoga NY 06/2024 05/2025
Cetera Investment Services Llc St Cloud MN 06/2025 12/2025
Cetera Investment Advisers Llc Latham NY 06/2025 12/2025
Ameriprise Financial Services, Llc Albany NY 12/2025 Present
  • 01/2016 → 09/2017
    Hilton Albany
    Albany, NY
  • 09/2017 → 04/2018
    Tri-City Hotels Management
    Albany, NY
  • 04/2018 → 01/2019
    Mazconnect
    New Rochelle, NY
  • 01/2019 → 12/2020
    Onemain Financial
    Rensselaer, NY
  • 07/2020 → 09/2023
    New York Life Insurance Co
    Latham, NY
  • 04/2022 → 09/2023
    Nylife Securities Llc
    Latham, NY
  • 02/2024 → 06/2024
    The Prudential Insurance Co. Of America
    Syracuse, NY
  • 02/2024 → 06/2024
    Pruco Securities, Llc
    Syracuse, NY
  • 10/2023 → 02/2024
    Albany Financial Group
    Albany, NY
  • 06/2024 → 05/2025
    Etico Partners, Llc
    Saratoga, NY
  • 06/2025 → 12/2025
    Cetera Investment Services Llc
    St Cloud, MN
  • 06/2025 → 12/2025
    Cetera Investment Advisers Llc
    Latham, NY
  • 12/2025 → Present
    Albany, NY
Other Businesses

Real Estate Ownership; Multi-Family; 436 Aiken Ave, , Rensselaer, NY, 12144; Not Investment-Related; 10/01/2020 / Multi-Family; 22 Donnelly Drive , , Rensselaer , NY, 12144; Not Investment-Related; 10/01/2020. Business Ownership; Rohail Properties LLC; Owner; Real Estate; 909 Ridgeview Circle, , Castleton, NY, 12033; Not Investment-Related; 09/04/2020; 10 to 19 hours per month; 0 during trading hours. Outside Employment; FFLIH, LLC; Financial Planning Specialist - support for lead advisors and financial planning.; Manage advisory business; 80 Wolf Road, , Albany, NY, 12205; Investment-Related; 12/15/2025; 60 hours per month; 60 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2026-03-09
S63 Uniform Securities Agent State Law Examination 2024-03-28
  • S66 Uniform Combined State Law Examination
    2026-03-09
  • S63 Uniform Securities Agent State Law Examination
    2024-03-28
Other Names
  • Rohail Sarwar

View on SEC IAPD

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