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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 2010-05-13
WI RA APPROVED 1990-02-08
  • TX RA
    APPROVED_RES
    Since 2010-05-13
  • WI RA
    APPROVED
    Since 1990-02-08

Branch Locations

903 S 17Th Ave Ste A, Wausau, WI 54401 • United States

Wausau, WI • 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. Wausau WI 09/2005 03/2020
Ameriprise Financial Services, Llc Wausau WI 03/2020 Present
Other Businesses

Business Ownership; DJK Investments, LLC; Owner, partial management of office building; LLC is solely for the holding of our office building real estate; 903. S. 17th avenue, , Wausau, WI, 54401; Investment-Related; 06/01/2000; 1 to 9 hours per month; 1 to 9 during trading hours.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1990-01-31
  • S63 Uniform Securities Agent State Law Examination
    1990-01-31
Designations

View on SEC IAPD

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