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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 1992-01-10
  • TX RA
    APPROVED
    Since 1992-01-10

Branch Locations

3333 Premier Dr Ste 100, Plano, TX 75023 • United States

Dallas, TX • 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 Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Plano TX 09/2005 03/2020
Ameriprise Financial Services, Llc Plano TX 03/2020 Present
Other Businesses

Board of Directors; Creekside at Lake Highlands homeowners assocaion; board member; Jackson Creek Drive, , Dallas, TX, 75243; Not Investment-Related; 10/01/2025; 1 to 9 hours per month; 0 during trading hours. Other Business Activities; Selling some of my crafts; I make stained glass and I would like to be able to sell some of my pieces.; 12210 Jackson Creek Drive, , Dallas, TX, 75243; Not Investment-Related; 09/15/2025; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1992-01-06
  • S63 Uniform Securities Agent State Law Examination
    1992-01-06

View on SEC IAPD

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