Frank Anthony Planes

Current Employers

Ameriprise Financial Services, Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2023-05-17
FL	RA	APPROVED	2019-11-19
NJ	RA	APPROVED	2002-07-31

TX RA
APPROVED_RES

Since 2023-05-17
FL RA
APPROVED

Since 2019-11-19
NJ RA
APPROVED

Since 2002-07-31

Branch Locations

Lakewood Ranch, FL • United States

6151 Lake Osprey Dr Ste 329, Sarasota, FL 34240 • 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

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Montclair	NJ	09/2005	03/2020
Ameriprise Financial Services, Llc	Sarasota	FL	03/2020	Present

09/2005 → 03/2020

Ameriprise Financial Services, Inc.

Montclair, NJ
03/2020 → Present

Ameriprise Financial Services, Llc

Sarasota, FL

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1991-06-13

S63 Uniform Securities Agent State Law Examination

1991-06-13

Other Names

Frank A Planes