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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 1997-12-04
  • IL RA
    APPROVED
    Since 1997-12-04

Branch Locations

739 N Brinton Ave, Dixon, IL 61021-1609 • United States

Dixon, IL • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Dixon IL 09/2005 03/2020
Ameriprise Financial Services, Llc Dixon IL 03/2020 Present
Other Businesses

Business Ownership; JLN Properties LLC; Co-owner; Real Estate; 1133 Steinmann, , Dixon, IL, 61021; Not Investment-Related; 03/01/2019; 1 to 9 hours per month; 1 to 9 during trading hours. Board of Directors; Sauk Valley Community Church; treasurer; 498 IL Rt 2Dixon, IL 61021, , Dixon, IL, 61021; Not Investment-Related; 09/01/2007; 10 to 19 hours per month; 1 to 9 during trading hours / ONE; Treasurer; 498 Illinois Route 2, , Dixon, IL, 61021; Not Investment-Related; 03/19/2018; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1990-07-26
  • S63 Uniform Securities Agent State Law Examination
    1990-07-26
Other Names
  • John Novak

View on SEC IAPD

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