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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2024-02-06
  • NY RA
    APPROVED
    Since 2024-02-06

Branch Locations

141 W Front St Ste 140, Red Bank, NJ 07701 • United States

Brooklyn, NY • 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
Cetera Advisor Networks Llc El Segundo CA 09/2013 02/2024
Cetera Investment Advisers Llc Schaumburg IL 06/2023 02/2024
Ameriprise Financial Services, Llc Red Bank NJ 02/2024 Present
Previous Registrations
  • 2023-06-29 → 2024-02-08
    Brooklyn, NY
  • 2021-03-31 → 2023-06-29
    Cetera Wealth Services, Llc
    Brooklyn, NY
    Brooklyn, NY
  • 1996-07-09 → 2003-01-28
    Nathan & Lewis Securities, Inc.
    Brooklyn, NY
Other Businesses

Independent Insurance Brokering; united healthcare; 02/14/2024; Fixed Annuity, Term Life, Health, Long Term Care, Medicare Supplement / aetna; 07/01/2024; Health, Medicare Supplement / cigna; 09/01/2024; Medicare Supplement, Health / humana; 09/01/2024; Health, Medicare Supplement.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1990-08-09
  • S63 Uniform Securities Agent State Law Examination
    1990-08-09
Other Names
  • Regina Rosenfeld

View on SEC IAPD

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