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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MO | RA | APPROVED | 2021-01-05 |
| TX | RA | APPROVED_RES | 2014-09-26 |
| IL | RA | APPROVED | 1997-12-04 |
Branch Locations
209 West Pointe Dr Ste C, Swansea, IL 62226-8310 • United States
The Hammons Tower Ste 401 901 E St Louis St, Springfield, MO 65806 • United States
Camdenton, MO • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | St Louis | MO | 11/1990 | 03/2020 |
| Ameriprise Financial Services, Llc | Swansea | IL | 03/2020 | Present |
Outside Employment; Certainty of Uncertainty, LLC; Contractor of the legal entity; Manage advisory business; 1174 Veterans Memorial Highway, , Happauge, NY, 11788; Investment-Related; 09/30/2022; 60 hours per month; 60 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-04-01 |
| S63 | Uniform Securities Agent State Law Examination | 1990-12-03 |
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