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William James Harris

Ameriprise Financial Services, LLC

Olympia Flds, IL

Chicago, IL

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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 2025-11-12
IL RA APPROVED 1997-12-04
  • TX RA
    APPROVED_RES
    Since 2025-11-12
  • IL RA
    APPROVED
    Since 1997-12-04

Branch Locations

Olympia Flds, IL • United States

303 E Wacker Dr Ste 1575, Chicago, IL 60601 • 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. Chicago IL 01/1990 03/2020
Ameriprise Financial Services, Llc Chicago IL 03/2020 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-01-29
S63 Uniform Securities Agent State Law Examination 1990-02-02
  • S65 Uniform Investment Adviser Law Examination
    1998-01-29
  • S63 Uniform Securities Agent State Law Examination
    1990-02-02

View on SEC IAPD

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