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Lynn James Kaufman

Ameriprise Financial Services, LLC

Oak Brook, IL

Naperville, IL

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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2021-12-14
TX RA APPROVED_RES 2021-12-08
  • IL RA
    APPROVED
    Since 2021-12-14
  • TX RA
    APPROVED_RES
    Since 2021-12-08

Branch Locations

2805 Butterfield Rd Ste 110, Oak Brook, IL 60523 • United States

Naperville, IL • 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
Berthel Fisher & Co Financial Services, Inc. Mason City IA 11/2011 12/2021
Ameriprise Financial Services, Llc Oak Brook IL 12/2021 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-10-10
S63 Uniform Securities Agent State Law Examination 1992-02-11
  • S66 Uniform Combined State Law Examination
    2008-10-10
  • S63 Uniform Securities Agent State Law Examination
    1992-02-11
Other Names
  • Lynn Kaufman

View on SEC IAPD

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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · OAK BROOK, IL
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC · OAK BROOK, IL
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · OAK BROOK, IL
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · Oak Brook, IL
WEALTHQUEST CORPORATION · OAK BROOK, IL
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