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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 2006-09-29
UT RA APPROVED 1991-12-23
  • TX RA
    APPROVED_RES
    Since 2006-09-29
  • UT RA
    APPROVED
    Since 1991-12-23

Branch Locations

7440 S Creek Rd Ste 200, Sandy, UT 84093 • United States

Salt Lake City, UT • 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, Inc. Sandy UT 09/2005 03/2020
Ameriprise Financial Services, Llc Sandy UT 03/2020 Present
Other Businesses

Business Ownership; Green Wave Products LLC; Minority owner; ; 718 Fernleaf Ave. Corona Del Mar Ca 92625, ,; Not Investment-Related; 04/01/2018; 0 hours per month; 0 during trading hours / Creek Road LLC; ; This is an LLC that exists for the sole purpose of binding the other Financial Advisors in our office together for leasing office space and equipment; 7440 S. Creek Road, Suite 200Sandy Utah 84093, ,; ; ; 0 hours per month; / Alta Management Group, LLC; Co-owner; Manage Ameriprise Business; 7440 E. Creek Road, Suite 200, , Sandy, UT, 84093; Not Investment-Related; 03/31/2025; 1 to 9 hours per month; 1 to 9 during trading hours. Board of Directors; Knights of Columbus; Financial Secretary; 3015 E. Creek Rd, , Sandy, UT, 84093; Not Investment-Related; 09/30/2021; 1 to 9 hours per month; 0 during trading hours. Outside Employment; Alta Management Group, LLC; Co-owner; Manage advisory business; 7440 E. Creek Road, Suite 200, , Sandy, UT, 84093; Investment-Related; 07/15/2025; 1 to 9 hours per month; 1 to 9 during trading hours. Other Business Activities; Weight Watchers of Salt Lake City; I am joining a group of individuals that will act as a Advisory Board to the current President of Weight Watchers of Salt Lake City. This Advisory Board will assist the acting President to address the strategic and business planning for the company for the 2014 calendar year. This is not a Board of Directors. This is not a policy making board. Weight Watchers of Salt Lake City is a franchise operation of Weight Watchers International. It operates in the state of Utah as an S Corporation and all shares are owned privately. This is not a publically trading company. Meetings are scheduled quarterly, but may be needed monthly during the first quarter of 2014. Meetings are scheduled at the Weight Watchers business location and are meant to last two hours.; 797 E. Winchester St., Suit #1 Murray, Utah 84107, ,; ; 12/01/2013; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-11-26
S63 Uniform Securities Agent State Law Examination 1990-06-25
  • S65 Uniform Investment Adviser Law Examination
    1993-11-26
  • S63 Uniform Securities Agent State Law Examination
    1990-06-25
Other Names
  • Mike Griffin

View on SEC IAPD

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