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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 2024-01-17
OH RA APPROVED 2009-10-05
  • TX RA
    APPROVED
    Since 2024-01-17
  • OH RA
    APPROVED
    Since 2009-10-05

Branch Locations

10100 Innovation Dr Ste 350, Miamisburg, OH 45342 • United States

Lebanon, OH • United States

5905 E Galbraith Rd Ste 4200, Cincinnati, OH 45236-2375 • United States

Lebanon, OH • 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. Washington Township OH 10/2009 03/2020
Ameriprise Financial Services, Inc. Dayton OH 10/2009 03/2020
Ameriprise Financial Services, Llc Cincinnati OH 03/2020 Present
  • 10/2009 → 03/2020
    Ameriprise Financial Services, Inc.
    Washington Township, OH
  • 10/2009 → 03/2020
    Ameriprise Financial Services, Inc.
    Dayton, OH
  • 03/2020 → Present
    Cincinnati, OH
Previous Registrations
  • 2003-06-25 → 2009-10-05
    Ameriprise Advisor Services, Inc.
    Blue Ash, OH
    Washington Township, OH
Other Businesses

Board of Directors; Lebanon Ultimate Frisbee; board member; Hope Church, , Lebanon, OH, 45036; Not Investment-Related; 01/08/2024; 1 to 9 hours per month; 0 during trading hours. Outside Employment; Camp Joy; Evening Coordinator - program set up/ tear down . overseeing meals. set up / tear down fire pit. assist in upkeep of program facilities and equipment; ; 10117 Old 3 C, , Clarcksville, OH, 45113; Not Investment-Related; 04/01/2023; 20 to 39 hours per month; 0 during trading hours / Lebanon City Schools; Game Announcer - Operate scoreboard and announce soccer game; ; Drake Rd, , Lebanon, OH, 45036; Not Investment-Related; 09/02/2019; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-01-10
S63 Uniform Securities Agent State Law Examination 1991-08-08
  • S65 Uniform Investment Adviser Law Examination
    2001-01-10
  • S63 Uniform Securities Agent State Law Examination
    1991-08-08

View on SEC IAPD

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