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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2022-06-24
TX RA APPROVED 2012-02-01
IL RA APPROVED 2009-10-05
  • FL RA
    APPROVED
    Since 2022-06-24
  • TX RA
    APPROVED
    Since 2012-02-01
  • IL RA
    APPROVED
    Since 2009-10-05

Branch Locations

540 W Northwest Hwy Ste E100, Barrington, IL 60010-3051 • United States

Naples, FL • 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. Lake Zurich IL 10/2009 03/2020
Ameriprise Financial Services, Inc. Lake Zurich IL 10/2009 03/2020
Ameriprise Financial Services, Llc Barrington IL 03/2020 Present
  • 10/2009 → 03/2020
    Ameriprise Financial Services, Inc.
    Lake Zurich, IL
  • 10/2009 → 03/2020
    Ameriprise Financial Services, Inc.
    Lake Zurich, IL
  • 03/2020 → Present
    Barrington, IL
Previous Registrations
  • 2003-06-24 → 2009-10-05
    Ameriprise Advisor Services, Inc.
    Lake Zurich, IL
  • 2003-03-11 → 2003-06-24
    Schaumburg, IL
Other Businesses

Board of Directors; winding cypress bocce board; commissioner; 7180 winding cypress dr, , naples, FL, 34114; Not Investment-Related; 11/15/2024; 1 to 9 hours per month; 0 during trading hours. Other Business Activities; winding cypress shady palm committee; The committee is a voulunter based of residences that live here. We are not affiliated with the HOA. We do make recommendations to the restaurants to the HOA who makes the final decisions. We report to one member of the HOAA board who is our liason to the board. He then reports to the board and they decide what to do.. Topics include hours of operation, food we serve, drinks served, prices of food charged, activities of bands and when they play. Our recommendations go the the HOA board who makes the final decisions. No one of the HOA board is a client of mine.; 7180 winding cypress drive, , naples, FL, 34114; Not Investment-Related; 05/13/2024; 1 to 9 hours per month; 1 to 9 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-02-02
S63 Uniform Securities Agent State Law Examination 1991-10-16
  • S65 Uniform Investment Adviser Law Examination
    2001-02-02
  • S63 Uniform Securities Agent State Law Examination
    1991-10-16

View on SEC IAPD

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