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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 2025-07-24
NY RA APPROVED 2021-05-07
  • TX RA
    APPROVED_RES
    Since 2025-07-24
  • NY RA
    APPROVED
    Since 2021-05-07

Branch Locations

1600 Stewart Ave Ste 303, Westbury, NY 11590 • United States

Huntington, NY • 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, Llc Westbury NY 11/2020 Present
The Metropolitan Opera N.Y. NY 06/2009 11/2020
Other Businesses

Outside Employment; Local One; Stagehand - working as an extra - (if called) in electric (lighting), grips (carpenters) or props department.; Stagehand - working as an extra - (if called) in electric (lighting), grips (carpenters) or props department for weekend or occasional evening show at Radio City Music Hall, The Metropolitan Opera, Broadway etc.; 1260 6th Ave, , NEW YORK, NY, 10020; Not Investment-Related; 11/27/2023; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-04-20
  • S66 Uniform Combined State Law Examination
    2021-04-20
Other Names
  • James H Naples

View on SEC IAPD

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