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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2026-05-13
KY RA APPROVED 2025-06-05
TN RA APPROVED 2025-06-05
  • VA RA
    APPROVED
    Since 2026-05-13
  • KY RA
    APPROVED
    Since 2025-06-05
  • TN RA
    APPROVED
    Since 2025-06-05

Branch Locations

Nashville, TN • United States

3805 Wyndsong Trail, Lexington, KY 40514 • 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 Lexington KY 11/2024 Present
Simmons Hanly Conroy Alton IL 10/2023 11/2024
Case Works Austin TX 10/2018 04/2023
Sabbatical Nashville TN 04/2023 10/2023
Dr. Ann Shippy, Md Internal Medicine Austin TN 08/2016 10/2018
  • 11/2024 → Present
    Lexington, KY
  • 10/2023 → 11/2024
    Simmons Hanly Conroy
    Alton, IL
  • 10/2018 → 04/2023
    Case Works
    Austin, TX
  • 04/2023 → 10/2023
    Sabbatical
    Nashville, TN
  • 08/2016 → 10/2018
    Dr. Ann Shippy, Md Internal Medicine
    Austin, TN
Other Businesses

Outside Employment; Geraldine Gordon & Associates; paid by Geraldine Gordon & Associates for role as AFA; Manage advisory business; 3805 Wyndsong Trail, , Lexington, KY, 40514; Investment-Related; 03/10/2025; 60 hours per month; 60 during trading hours / KALAS; RP Delegate work for AMP; Manage advisory business; 12309 Warner Dr. , , Goshen, KY, 40026; Investment-Related; 11/07/2025; 40 to 59 hours per month; 40 to 59 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-06-05
  • S66 Uniform Combined State Law Examination
    2025-06-05

View on SEC IAPD

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