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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2022-03-30
  • CT RA
    APPROVED
    Since 2022-03-30

Branch Locations

551 Newton St, South Hadley, MA 01075 • United States

Belchertown, MA • 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
Nylife Securities Llc Northampton MA 03/2019 03/2022
Ostberg & Assoc Fin Svcs & Ins Northampton MA 10/2018 07/2020
Callaway Golf Chicopee MA 11/2017 03/2019
Unemployed Belchertown MA 05/2017 11/2017
Pelican Products South Deerfield MA 08/2002 05/2017
Bete Fog Nozzle Greenfield MA 04/2019 04/2020
Eagle Strategies Llc Northampton MA 08/2019 03/2022
Ostberg & Associates Financial Services And Insurance Northampton MA 07/2020 03/2022
Ameriprise Financial Services, Llc South Hadley MA 03/2022 Present
  • 03/2019 → 03/2022
    Nylife Securities Llc
    Northampton, MA
  • 10/2018 → 07/2020
    Ostberg & Assoc Fin Svcs & Ins
    Northampton, MA
  • 11/2017 → 03/2019
    Callaway Golf
    Chicopee, MA
  • 05/2017 → 11/2017
    Unemployed
    Belchertown, MA
  • 08/2002 → 05/2017
    Pelican Products
    South Deerfield, MA
  • 04/2019 → 04/2020
    Bete Fog Nozzle
    Greenfield, MA
  • 08/2019 → 03/2022
    Northampton, MA
  • 07/2020 → 03/2022
    Ostberg & Associates Financial Services And Insurance
    Northampton, MA
  • 03/2022 → Present
    South Hadley, MA
Previous Registrations
Other Businesses

Business Ownership; SRD Operations, LLC; Co-owner; Manage Ameriprise Business; 551 Newton St., , South Hadley, MA, 01075; Investment-Related; 11/12/2019; 20 to 39 hours per month; 20 to 39 during trading hours. Outside Employment; SRD Operations, LLC; Co-owner; Manage advisory business; 551 Newton St., , South Hadley, MA, 01075; Investment-Related; 01/01/2025; 60 hours per month; 60 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-08-03
  • S66 Uniform Combined State Law Examination
    2019-08-03
Other Names
  • Michael Otto
  • Mike Jeffrey Otto
  • Mike Otto
  • Michael J. Otto
  • Mike J. Otto

View on SEC IAPD

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