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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
DC RA APPROVED 2024-05-23
  • DC RA
    APPROVED
    Since 2024-05-23

Branch Locations

1627 K Street Nw Suite 900, Washington, DC 20006-1710 • United States

Washington, DC • 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
Securities America Inc. Lavista NE 01/2011 06/2017
Usadvisors Wealth Management Arlington VA 09/2014 06/2017
Lpl Financial, Llc Washington DC 06/2017 05/2024
Ameriprise Financial Services Llc Washington DC 05/2024 Present
Previous Registrations
  • 2017-08-23 → 2024-05-28
    Washington, DC
  • 2014-10-27 → 2017-06-28
    Arlington, VA
  • 2011-01-03 → 2014-10-27
    Securities America Advisors, Inc.
    Alexandria, VA
    Falls Church, VA
  • 2002-08-22 → 2011-01-04
    Truist Investment Services, Inc.
    Alexandria, VA
    Alexandria, VA
    Alexandria, VA
    Arlington, VA
    Arlington, VA
    Alexandria, VA
    Alexandria, VA
    Alexandria, VA
    Alexandria, VA
    Annandale, VA
    Annandale, VA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-03-07
S63 Uniform Securities Agent State Law Examination 1990-06-05
  • S65 Uniform Investment Adviser Law Examination
    1997-03-07
  • S63 Uniform Securities Agent State Law Examination
    1990-06-05

View on SEC IAPD

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